Expert Panel calls for single securities regulator
Ontario, IIAC pleased with panel’s recommendations
- By: James Langton
- January 13, 2009 January 13, 2009
- 07:50
Latest news in From the Regulators
Alberta opposed to single federal regulator
Province calls on Ontario to join passport system
- By: James Langton
- January 12, 2009 January 12, 2009
- 17:50
Mexico’s Ortiz named chairman of BIS
The Bank for International Settlements’ board elected its new chairman Monday, Guillermo Ortiz, governor of the Bank of Mexico.Ortiz will succeed Jean-Pierre Roth, who has…
- By: James Langton
- January 12, 2009 January 12, 2009
- 16:15
Biovail to pay $5 million fine to OSC
Firm admits it mislead investors
- By: IE Staff
- January 11, 2009 January 11, 2009
- 17:10
Ottawa eyes improving regulation of private pensions
Flaherty releases discussion paper
- By: IE Staff
- January 11, 2009 January 11, 2009
- 16:15
Regulators turn away from TREATS
CSA decides not to proceed with Transaction Reporting and Electronic Audit Trail System
- By: James Langton
- January 11, 2009 January 11, 2009
- 15:30
No plans to increase capital targets for banks, OSFI head says
Canadian banks better positioned than most to deal with “second wave” of economic downturn
- By: James Langton
- January 8, 2009 January 8, 2009
- 14:10
CSA stresses disclosure obligations during current market conditions
Clear disclosure will be important to help investors understand risks, regulators say
- By: IE Staff
- January 8, 2009 January 8, 2009
- 12:20
UK regulator fines Aon unit for suspicious payments
The UK’s Financial Services Authority announced that it has levied its largest fine related to financial crime against insurance firm Aon Ltd. for failing to…
- By: James Langton
- January 8, 2009 January 8, 2009
- 11:45
Basel Committee beefs up standards implementation group
The Basel Committee on Banking Supervision announced that it is broadening the mandate of its Basel II implementation subcommittee to include the task of implementing…
- By: James Langton
- January 8, 2009 January 8, 2009
- 11:35
Fed expands liquidity program for money market funds
More institutions eligible to participate
- By: IE Staff
- January 7, 2009 January 7, 2009
- 16:25
Basel Committee eyes stress testing at banks
Consultation paper aims to address weaknesses that were exposed by the financial crisis
- By: James Langton
- January 6, 2009 January 6, 2009
- 12:20
UK regulator proposes to extend short selling disclosure regime
The UK’s Financial Services Authority is proposing to extend its temporary disclosure regime for significant net short positions in the stocks of UK financial sector…
- By: James Langton
- January 6, 2009 January 6, 2009
- 08:35
B.C. company banned from trading in Alberta
ASC panel decision follows similar order by BCSC
- By: Megan Harman
- January 5, 2009 January 5, 2009
- 12:23
E*Trade units fined US$1 million for inadequate anti-money laundering program
Firms failed to adequately monitor for suspicious trading activity
- By: James Langton
- January 5, 2009 January 5, 2009
- 11:30
BCSC fines firm and president for advising clients without registration
BCSC fines firm and president for advising clients without registration
- By: IE Staff
- December 23, 2008 December 23, 2008
- 16:10
MFDA panel approves $200,000 fine against Manulife Securities
Firm failed to disclose referral arrangement with Portus to clients
- By: Megan Harman
- December 23, 2008 December 23, 2008
- 08:35
Banks’ efforts to boost capital ratios not driven by OSFI
Managing capital conservatively does not mean increasing capital, regulator says
- By: James Langton
- December 22, 2008 December 22, 2008
- 16:40
Ex-merchant bank execs sanctioned by ASC
Proprietary Industries duo ordered to pay $1.5 million in fines and costs
- By: Megan Harman
- December 22, 2008 December 22, 2008
- 14:10
Toronto tax preparer jailed for providing false charitable donation receipts: CRA
Dapaah falsified more than $21 million in charitable donations
- By: Megan Harman
- December 22, 2008 December 22, 2008
- 10:45
Use of personal corporations by fund dealers to continue for now
Regulators grant extension to MFDA
- By: James Langton
- December 21, 2008 December 21, 2008
- 13:55
Regulators finalize streamlined process for dealer and advisor registration in multiple jurisdictions
Passport system available to registrants in all provinces, CSA says
- By: IE Staff
- December 21, 2008 December 21, 2008
- 12:10
CSA seeks feedback on revised corporate governance and audit committee regimes
Regulators propose changes in three main areas
- By: IE Staff
- December 21, 2008 December 21, 2008
- 11:40
KPMG appointed receiver for New Life Capital
KPMG was appointed receiver and manager of all of the property of New Life Capital Corp. and its related entities by the Superior Court of…
- By: IE Staff
- December 19, 2008 December 19, 2008
- 15:41