ASC issues trading bans against International Fiduciary Corp SA
ASC issues trading bans against International Fiduciary Corp SA
- By: IE Staff
- February 18, 2009 February 18, 2009
- 17:10
Latest news in From the Regulators
Basel II proposals have ramifications for ABCP market: Fitch
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…
- By: James Langton
- February 18, 2009 February 18, 2009
- 16:30
NBSC accepts Berrie White Capital agreement
Toronto-based partner prohibited from acting as officer, director
- By: Megan Harman
- February 18, 2009 February 18, 2009
- 13:54
Thow arrested in Oregon
Disgraced former mutual fund dealer Ian Thow was arrested Tuesday by members of Oregon’s fugitive task force as he left a condominium in Portland.Thow, former…
- By: IE Staff
- February 18, 2009 February 18, 2009
- 09:50
Gillan named senior advisor at SEC
The U.S. Securities and Exchange Commission has hired an advisor to new chairman Mary Schapiro.The SEC announced Tuesday that Kayla Gillan has been named senior…
- By: James Langton
- February 17, 2009 February 17, 2009
- 16:15
SEC settles stock option backdating charges against RIM and four officers
Ex-CFO fined US$500,000
- By: IE Staff
- February 17, 2009 February 17, 2009
- 14:50
Canada won’t avoid regulatory shake up prompted by market turmoil: panel
Much more cooperation among world securities regulators
- By: Megan Harman
- February 17, 2009 February 17, 2009
- 14:10
SEC charges Texas financier in US$8 billion fraud
Advisors sold investment by promising “improbable and unsubstantiated high interest rates”, regulator alleges
- By: IE Staff
- February 17, 2009 February 17, 2009
- 13:15
IIROC seeks more effective handling of client complaints
Proposed rule sets out specific standards and timelines for firms
- By: James Langton
- February 16, 2009 February 16, 2009
- 11:42
MFDA suspends membership of IOCT Financial
The Mutual Fund Dealers Association of Canada has suspended the membership rights and privileges of IOCT Financial Inc.On Feb. 10 in Toronto, a public representative…
- By: IE Staff
- February 13, 2009 February 13, 2009
- 15:50
Fed extends FOMC meetings to two days
The Fed is expanding its March, August, September, and December meetings to two days “to allow additional time for discussion”, it said Friday.The four meetings…
- By: James Langton
- February 13, 2009 February 13, 2009
- 11:45
B.C. appeal court overturns $6 million fine for Thow
Penalty reduced to $250,000
- By: IE Staff
- February 13, 2009 February 13, 2009
- 10:10
SEC accuses Toronto man of stock market manipulation
Regulator alleges schemes realized gains of US$21 million
- By: James Langton
- February 12, 2009 February 12, 2009
- 16:20
Ex-Biovail CFO fined $250,000
The Ontario Securities Commission has approved a settlement reached with former Biovail Corp. chief financial officer Brian Crombie.At a hearing on Thursday, an OSC panel…
- By: IE Staff
- February 12, 2009 February 12, 2009
- 16:10
Task force to examine MFDA governance
Board to maintain its current composition with one vacancy of a public director
- By: IE Staff
- February 12, 2009 February 12, 2009
- 15:15
UK regulator proposes fee hike
Additional financial resources necessary to cope with unprecedented challenges, CEO says
- By: James Langton
- February 12, 2009 February 12, 2009
- 10:45
Donaldson, Levitt to lead investor task force on reform of U.S. financial market regulation
Former SEC chairmen to head Investors’ Working Group
- By: James Langton
- February 11, 2009 February 11, 2009
- 16:55
Quebec extends consultation period on aggressive tax planning
New deadline is April 1
- By: James Langton
- February 10, 2009 February 10, 2009
- 16:40
Fed to expand Term Asset-Backed Securities Loan Facility
Proposed expansion could increase TALF to as much as US$1 trillion
- By: James Langton
- February 10, 2009 February 10, 2009
- 12:35
Madoff consents to partial settlement with SEC
Judgment imposes permanent injunction
- By: IE Staff
- February 10, 2009 February 10, 2009
- 09:50
ASC issues trading bans against Momentas Corp. and directors
The Alberta Securities Commission (ASC) has issued trading bans against Ontario-based Momentas Corp., its de facto officers and directors Howard Rash and Alexander Funt, its…
- By: IE Staff
- February 9, 2009 February 9, 2009
- 15:55
Bank deleveraging creates a challenge for consumers and regulators: FSA
Rules on capital adequacy need to be revised, report says
- By: James Langton
- February 9, 2009 February 9, 2009
- 12:10
Ontario to modernize credit union sector
Province seeks input on draft regulations
- By: Megan Harman
- February 8, 2009 February 8, 2009
- 15:35
FSA proposes enhanced transparency requirements on short selling
Disclosure requirements for significant short positions should be introduced, UK regulator says
- By: James Walker
- February 6, 2009 February 6, 2009
- 10:50
Seven charged in insider trading ring
Scam generated over US$11.6 million in illegal profits, SEC alleges
- By: James Langton
- February 5, 2009 February 5, 2009
- 16:45