The UK’s Financial Services will adopt a new disclosure regime for Contracts for Difference, the FSA said Tuesday.The new rules, which will take effect June…
TALF to provide financing to investors to support their purchases of certain AAA-rated asset-backed securities
The U.S. Securities Investor Protection Corp. announced that it will move from charging flat fees to revenue-based assessments, starting next month.The SIPC, which maintains a…
The U.S. Securities and Exchange Commission is warning investors and financial services firms about con-artists who may use the names of actual SEC employees to…
The Investment Industry Regulatory Organization of Canada says that the implementation of trading rule amendments requiring the reporting of certain failed trades is being deferred.…
The Alberta Court of Appeal has upheld an Alberta Securities Commission (ASC) decision against Edmonton businessman Lambert “Bert” Lavallee relating to illegal trades and illegal…
The UK’s Financial Services Authority has published a proposed code of practice concerning the pay policies of financial firms.The draft code aims to “ensure that…
An investigation has resulted in a New Brunswick Securities Commission (NBSC) hearing panel ordering that Strategic Energy Partners and Jim Palmer be banned from trading…
Firm to pay $125,000 civil penalty for violating fair dealing, gifts and gratuities and supervisory rules
The report identifies three areas in which IOSCO is proposing principles to address the issues raised by the growth of DEA
Current head of New York Stock Exchange Regulation will retain post as FINRA chairman as well
Report that sets principles is sent out for public comment; deadline is May 20
The regulator’s representative office will remain open in Canada to assist clients recover troubled assets
Ontario’s securities regulator is more closely monitoring continuous disclosure filings, among other measures
If not, government capital will be provided in the form of mandatory convertible preferred shares
Project Trident has more than 70 cases in various stages of investigation
Amendments are designed to ensure that guidelines are consistent with the disclosure requirements and terminology of the new accounting standard
Allegations include customer funds withdrawal without disclosure and the issuing of false account statements
Prohibition of conduct in securities-related business is also part of the penalty issued on Thursday
Former prosecutor has been general counsel with Deutsche Bank for past five years
The council stresses that the CSA plans to implement the national registration rule this year
The new members were chosen based on their capital markets and the development of their regulatory systems
ASC issues trading bans against International Fiduciary Corp SA
New proposals for updating the Basel II framework would impact structured finance globally, and the asset-backed commercial paper market in particular, Fitch Ratings says.The rating…
Toronto-based partner prohibited from acting as officer, director