Ex-Dundee Securities rep fined $220,000
IIROC bans Dass for misuse of client funds
- By: IE Staff
- May 18, 2009 May 18, 2009
- 13:58
Latest news in From the Regulators
Alberta court upholds ASC decision against Grossman
The Alberta Court of Appeal has upheld Alberta Securities Commission (ASC) decisions and sanctions against Toronto businessman Al Grossman and Maitland Capital Ltd. related to…
- By: IE Staff
- May 14, 2009 December 14, 2017
- 16:30
SEC to strengthen safeguards of investor funds controlled by investment advisors
The U.S. Securities and Exchange Commission is proposing rule amendments to beef up oversight of investment advisors that retain custody of client assets.The SEC is…
- By: James Langton
- May 14, 2009 May 14, 2009
- 16:10
Distinction between market risk and credit risk has been blurred: Basel
The Basel Committee on Banking Supervision has issued a working paper that examines the interaction of market risk and credit risk, a relationship that has…
- By: James Langton
- May 14, 2009 May 14, 2009
- 11:10
U.S. government releases OTC derivatives regulation proposals
The U.S. government has unveiled its plan to bring some regulatory oversight, and improved transparency, to the over-the-counter derivatives markets.The proposals published Wednesday would require…
- By: James Langton
- May 14, 2009 May 14, 2009
- 07:06
ASC settles with Petroleum Unlimited and Roger Kimmel
The Alberta Securities Commission (ASC) has concluded a settlement with Petroleum Unlimited, LLC, and Ohio-resident Roger A. Kimmel Jr. regarding allegations that they did not…
- By: IE Staff
- May 13, 2009 May 13, 2009
- 14:50
Ex-Secutor Capital rep fined $10,000
Jenset permitted a non-registrant to perform “know your client” obligations
- By: IE Staff
- May 13, 2009 May 13, 2009
- 14:25
IIROC review panel dismisses Credifinance request
A review panel of the Investment Regulatory Organization of Canada has dismissed the request for review by Credifinance Securities Ltd., IIROC said Tuesday.An IIROC hearing…
- By: IE Staff
- May 12, 2009 May 12, 2009
- 15:42
Edmonton rep fined for forging client signatures
Lamontagne handed six-month suspension by IIROC panel
- By: IE Staff
- May 12, 2009 May 12, 2009
- 14:40
Regulators must keep expectations realistic in wake of financial crisis
Dickson ponders whether it is possible to overcome human nature and the strong influence of incentives
- By: IE Staff
- May 12, 2009 May 12, 2009
- 13:55
The common sense approach to deciphering a tax statute
The Supreme Court rules that UPS was entitled to set-off overpayments of GST, rather than using an application process demanded by CRA
- By: Patricia Chisholm
- May 12, 2009 May 12, 2009
- 11:32
CRA revokes the charitable status of Toronto charity
CRA revokes the charitable status of Toronto charity
- By: IE Staff
- May 11, 2009 May 11, 2009
- 15:30
Court clears ASC to gather evidence from third party tax advisors
Regulator asked KPMG to disclose documents relating relating to work for Merendon Mining
- By: James Langton
- May 11, 2009 May 11, 2009
- 14:40
New York Fed CEO named CPSS chairman
William Dudley has been appointed as chairman of the Committee on Payment and Settlement Systems (CPSS), the Bank Bank for International Settlements said Monday.His appointment…
- By: IE Staff
- May 11, 2009 May 11, 2009
- 14:35
Corporate governance crucial in financial crisis clean-up, Dickson says
Boards need to increase their involvement in setting risk appetite, overseeing management and compensation
- By: James Langton
- May 10, 2009 May 10, 2009
- 12:50
BDC rolls out Canadian Secured Credit Facility
Measure will help stimulate Canada’s manufacturing sector, Clement says
- By: IE Staff
- May 8, 2009 May 8, 2009
- 13:45
FINRA announces agreements with four more firms to settle Auction Rate Securities violations
Settlements include total fines of US$850,000
- By: James Langton
- May 7, 2009 May 7, 2009
- 15:20
U.S. Government Accountability Office calls for changes to the SEC
Among other things, the GAO recommends that SEC’s new office of collections and distributions adopt a new structure
- By: James Langton
- May 6, 2009 May 6, 2009
- 14:12
Don’t cut costs at expense of anti-money laundering efforts: OSFI
Senior director says it’s vital to take all the steps necessary to deter criminal elements
- By: James Langton
- May 6, 2009 May 6, 2009
- 13:16
SEC charges operators of Reserve Primary Fund With fraud
Company reviewing regulator's complaint
- By: James Langton
- May 5, 2009 May 5, 2009
- 16:50
IOSCO publishes interim recommendations on unregulated financial markets and products
The International Organization of Securities Commissions’ policymaking body has published its’ interim recommendations for regulatory changes designed to deal with unregulated financial markets and products.On…
- By: James Langton
- May 5, 2009 May 5, 2009
- 16:15
Nova Scotia regulator spells out priorities
The Nova Scotia Securities Commission has published its business plan for the coming year, highlighting its commitment to the passport system.In the plan, the commission…
- By: James Langton
- May 5, 2009 May 5, 2009
- 15:45
OSC outlines priorities for 2009-2010
Regulatory fees to hold at current rates for one year
- By: IE Staff
- May 5, 2009 May 5, 2009
- 07:30
AMF issues cease trade order against Toronto fund manager
Regulator moves to preempt spread of alleged Ponzi scheme to Quebec
- By: James Langton
- May 4, 2009 May 4, 2009
- 15:35
IIROC proposes to streamline methodology for margining equity securities
The Investment Industry Regulatory Organization of Canada is proposing amendments to its rules that are designed to simplify a new methodology for margining equity securities.The…
- By: James Langton
- May 3, 2009 May 3, 2009
- 15:56