OSFI stress testing individual business lines more frequently
Supervisory framework should reflect lessons from global turmoil
- By: James Langton
- February 4, 2009 February 4, 2009
- 15:20
Latest news in From the Regulators
OSC to settle with RIM officers over stock options dating
Hearing scheduled for Feb. 5
- By: IE Staff
- February 4, 2009 February 4, 2009
- 10:10
IIROC seeks candidates to serve on industry boards
Regulator undertaking new selection process in approving nominations to the boards fo CDS, FundSERV, and OBSI
- By: James Langton
- February 4, 2009 February 4, 2009
- 08:15
MFDA approves settlement with Lamarche
Interglobe branch manager fined $40,000
- By: IE Staff
- February 3, 2009 February 3, 2009
- 16:10
BCSC makes reciprocal orders against 10 individuals
British Columbia Securities Commission panels have made reciprocal enforcement orders against 10 individuals sanctioned by securities commissions in Alberta, Ontario and New Brunswick.They are Jose…
- By: IE Staff
- February 3, 2009 February 3, 2009
- 14:28
Fed extends special liquidity programs
Temporary reciprocal currency arrangements between the Fed and other central banks also extended
- By: James Langton
- February 3, 2009 February 3, 2009
- 10:50
Quebec to review “aggressive tax planning”
Finance minister releases consultation paper
- By: James Langton
- February 1, 2009 February 1, 2009
- 16:40
IIROC bans former Union Securities rep
Morrison fined for failing to give information to investigation
- By: IE Staff
- February 1, 2009 February 1, 2009
- 15:10
BCSC settles with the CEO and a former director of Canadian Rockport Homes
Pair admits Rockport made unreasonable financial projections in its offering documents
- By: IE Staff
- February 1, 2009 February 1, 2009
- 14:10
NASAA unveils pro-investor legislative agenda
Top priority is to protect investors
- By: James Langton
- January 30, 2009 January 30, 2009
- 11:45
Landen gets jail sentence and fine for illegal insider trading
Judge orders former Agnico-Eagle officer to pay $200,000
- By: IE Staff
- January 29, 2009 January 29, 2009
- 16:35
CSA enforcement actions double in 2008: report
Rise in appeals signals securities law is becoming more litigious
- By: Megan Harman
- January 29, 2009 January 29, 2009
- 15:40
Morgan Wilshire ordered to cease operations
IIROC panel terminates company’s membership
- By: IE Staff
- January 28, 2009 January 28, 2009
- 17:26
IIROC panel reduces fines against former Golden Capital CFO
An appeal panel of the Investment Industry Regulatory Organization of Canada has reduced fines against a Vancouver-based CFO who argued the penalty against him was…
- By: Megan Harman
- January 28, 2009 January 28, 2009
- 16:13
MFDA begins new round of sales compliance exams
Bulletin outlines common deficiencies and provides guidance on best practices
- By: James Langton
- January 28, 2009 January 28, 2009
- 15:45
OSC announces cease-trade order against Panama Opportunity Fund
The Ontario Securities Commission has imposed a temporary cease-trade order on Berkshire Capital Limited, GP Berkshire Capital Limited, Panama Opportunity Fund and Ernest Anderson.The order…
- By: IE Staff
- January 28, 2009 January 28, 2009
- 14:10
OSC settles with two Biovail execs
Howling, Miszuk fined and reprimanded for misleading investors
- By: James Langton
- January 28, 2009 January 28, 2009
- 12:15
MFDA mulls rule amendments for principal-protected notes
CSA urges action to ensure that KYC and suitability obligations apply to all dealings in PPNs
- By: James Langton
- January 25, 2009 January 25, 2009
- 16:40
Natural Gas Exchange seeks exemption from OSC
Exchange already recognized by Alberta Securities Commission
- By: James Langton
- January 25, 2009 January 25, 2009
- 16:15
OSC orders vote on HudBay-Lundin deal
Proposed purchase needs shareholder vote, regulator rules
- By: James Langton
- January 25, 2009 January 25, 2009
- 15:15
FINRA launches search to replace Schapiro
Luparello to serve as interim CEO
- By: James Langton
- January 23, 2009 January 23, 2009
- 16:20
Argosy owner fined $150,000 for compliance shortfall
IIROC calls for compliance consultant to be put in place
- By: IE Staff
- January 22, 2009 January 22, 2009
- 15:45
Financial crisis prompts U.K. regulatory changes
Financial Services Authority to review regulation of banking system
- By: James Langton
- January 21, 2009 January 21, 2009
- 16:42
Vancouver accountant fined $70,000
De facto director failed to file insider trading reports: BCSC
- By: Megan Harman
- January 21, 2009 January 21, 2009
- 13:19
IIROC gives February 2010 deadline for rulebook re-write
Regulator plans to integrate trading rules into new consolidated rulebook
- By: James Langton
- January 20, 2009 January 20, 2009
- 17:10