Latest news in From the Regulators

Expert Panel calls for single securities regulator

Alberta opposed to single federal regulator

Mexico’s Ortiz named chairman of BIS

Biovail to pay $5 million fine to OSC

  • By: IE Staff
  • January 11, 2009 January 11, 2009
  • 17:10

Ottawa eyes improving regulation of private pensions

  • By: IE Staff
  • January 11, 2009 January 11, 2009
  • 16:15

Regulators turn away from TREATS

No plans to increase capital targets for banks, OSFI head says

CSA stresses disclosure obligations during current market conditions

  • By: IE Staff
  • January 8, 2009 January 8, 2009
  • 12:20

UK regulator fines Aon unit for suspicious payments

Basel Committee beefs up standards implementation group

Fed expands liquidity program for money market funds

  • By: IE Staff
  • January 7, 2009 January 7, 2009
  • 16:25

Basel Committee eyes stress testing at banks

UK regulator proposes to extend short selling disclosure regime

B.C. company banned from trading in Alberta

E*Trade units fined US$1 million for inadequate anti-money laundering program

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

Banks’ efforts to boost capital ratios not driven by OSFI

Ex-merchant bank execs sanctioned by ASC

Toronto tax preparer jailed for providing false charitable donation receipts: CRA

Rating outlook for U.S. financial institutions remains negative: Fitch

Use of personal corporations by fund dealers to continue for now

Regulators finalize streamlined process for dealer and advisor registration in multiple jurisdictions

  • By: IE Staff
  • December 21, 2008 December 21, 2008
  • 12:10

CSA seeks feedback on revised corporate governance and audit committee regimes

  • By: IE Staff
  • December 21, 2008 December 21, 2008
  • 11:40

KPMG appointed receiver for New Life Capital

  • By: IE Staff
  • December 19, 2008 December 19, 2008
  • 15:41