Obama nominates Schapiro to head SEC
FINRA CEO tapped to replace Cox
- By: James Langton
- December 18, 2008 December 18, 2008
- 15:55
Latest news in From the Regulators
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
Victims of investment schemes to receive millions
Funds frozen in accounts by BCSC to be distributed
- By: Megan Harman
- December 8, 2008 December 8, 2008
- 14:29
CRA revokes charitable status from H.B. Arts Foundation
Funds for Montreal charity flow to offshore accounts, agency says
- By: IE Staff
- December 8, 2008 December 8, 2008
- 12:35
MFDA members vote down proposed by-law change
Current board members who have already reached their maximum term now disqualifed
- By: Clare O’Hara
- December 7, 2008 December 7, 2008
- 16:30
CSA issues update on search for information processor
Status of CanPX as processor for corporate debt securities extended until June 2009
- By: James Langton
- December 7, 2008 December 7, 2008
- 15:10
Former Arlington CEO pleads guilty in US$40 million international Ponzi scheme
An executive at a U.S.-based investment scheme that also targeted Canadians pled guilty to conspiracy charges, the U.S. Federal Bureau of Investigation announced Tuesday.The FBI…
- By: James Langton
- December 4, 2008 December 4, 2008
- 16:50