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
Latest news in From the Regulators
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
SEC mandates use of interactive data “tags”
Big companies required to start using tags by mid-2009
- By: James Langton
- December 19, 2008 December 19, 2008
- 11:10
UK regulator to review the issue of consumer responsibility
In a discussion paper released Friday, the UK’s Financial Services Authority aims to explore the steps the regulator or others could take to help consumers…
- By: IE Staff
- December 19, 2008 December 19, 2008
- 10:50
Obama nominates Schapiro to head SEC
FINRA CEO tapped to replace Cox
- By: James Langton
- December 18, 2008 December 18, 2008
- 15:55
B.C. investment dealer breaches cease trade order
The British Columbia Securities Commission has settled with an investment dealer that agreed to pay $12,000 for breaching a BCSC cease trade order.E*Trade Canada Securities…
- By: IE Staff
- December 18, 2008 December 18, 2008
- 15:10
CSA proposes changes to insider reporting regime
Changes will make it easier for issuers and insiders to understand their obligations, regulators say
- By: IE Staff
- December 18, 2008 December 18, 2008
- 11:55
Investors want a clear explanation about product risks: report
Joint Standing Committee reports on product suitability consultation
- By: James Langton
- December 17, 2008 December 17, 2008
- 14:50
SEC failed to act on Madoff tips, Cox says
Regulator chief launches investigation
- By: IE Staff
- December 17, 2008 December 17, 2008
- 11:40
Fed slashes funds rate to historic low
Rates to stay low for the foreseeable future, economists say
- By: IE Staff
- December 16, 2008 December 16, 2008
- 16:25
Quebec outlines priorities for the upcoming meeting of finance ministers
Province stands firm on passport system of securities regulation
- By: James Langton
- December 16, 2008 December 16, 2008
- 16:20
Ontario proposes pension relief measures
Province appoints economic advisory panel to address market uncertainty
- By: IE Staff
- December 16, 2008 December 16, 2008
- 12:15
Outlook for financial stability remains uncertain: ECB
Outlook for financial stability remains uncertain: ECB
- By: James Langton
- December 15, 2008 December 15, 2008
- 16:10
Union Securities options supervisor disciplined
Panel finds four instances of inadequate supervision
- By: IE Staff
- December 15, 2008 December 15, 2008
- 15:50
Updated Canada-U.S. income tax treaty now in force
Treaty intended to stimulate trade and investment
- By: Megan Harman
- December 15, 2008 December 15, 2008
- 13:55
Seized properties a first for IMET program
Market manipulation results in criminal charges against Ontario man
- By: IE Staff
- December 15, 2008 December 15, 2008
- 13:45
Public directors to remain for now despite vote: MFDA
Geist, Glaab and Sellars approved as industry directors
- By: Clare O’Hara
- December 14, 2008 December 14, 2008
- 14:55
OSFI to review reinsurance industry regulation
Regulator seeks comments on discussion paper from stakeholders
- By: James Langton
- December 14, 2008 December 14, 2008
- 10:30
Wall Street hedge fund trader accused of massive fraud
SEC alleges firm was a giant Ponzi scheme
- By: James Langton
- December 12, 2008 December 12, 2008
- 08:20
SEC finalizes auction rate securities settlements with Citigroup, UBS
Settlements will restore nearly US$30 billion in liquidity to investors
- By: James Langton
- December 11, 2008 December 11, 2008
- 16:45
Ex U.S. Fidelity employees to pay more than US$1 million to settle SEC charges
The U.S. Securities and Exchange Commission has settled with eight former employees of Fidelity Investments’ equity trading desk over allegations that they improperly received travel,…
- By: James Langton
- December 11, 2008 December 11, 2008
- 16:35
OSFI voices concern on DB pension plans
Regulator calls on plans to consider implications of market downturn
- By: James Langton
- December 10, 2008 December 10, 2008
- 16:45
Saskatchewan a step closer to registration reform
Various amendments that are necessary to implement registration reform have been approved, the Saskatchewan Financial Services Commission (SFSC) said Wednesday.The SFSC notes that legislation amending…
- By: James Langton
- December 10, 2008 December 10, 2008
- 16:25
ASC seeks trading bans against Essen Capital
Company distributed securities illegally, ASC alleges
- By: IE Staff
- December 8, 2008 December 8, 2008
- 16:05