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
Latest news in From the Regulators
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
CFTC names Dunn acting chairman
The U.S. Commodity Futures Trading Commission has elected commissioner Michael Dunn to serve as acting chairman until U.S. President Obama’s nominee to lead the agency,…
- By: James Langton
- January 20, 2009 January 20, 2009
- 15:50
First Ministers endorse full labour mobility across Canada
Amendments remove barriers to internal trade
- By: James Langton
- January 18, 2009 January 18, 2009
- 14:50
Investment firm fined for advising in B.C. without registration
Castlemore to pay $5,500 in fines and fees
- By: IE Staff
- January 16, 2009 January 16, 2009
- 13:35
Basel Committee seeks to reform capital adequacy framework
Proposed changes would strengthen the supervisory environment for banks
- By: James Walker
- January 16, 2009 January 16, 2009
- 10:20
ASC settles illegal insider trading allegations against Calgary businessman
Laprade to pay regulator $10,000
- By: IE Staff
- January 15, 2009 January 15, 2009
- 10:10
Regulators need to treat economic crime more seriously, says Wilson
Prevention efforts necessary to protect investors
- By: Megan Harman
- January 14, 2009 January 14, 2009
- 18:06
Opt-in provision could allow single regulator regime to take effect sooner rather than later, Hockin says
Expert Panel chairman pleased with mostly positive reaction to report
- By: Megan Harman
- January 14, 2009 January 14, 2009
- 16:10
Quebec unveils refundable tax credit for home improvement
Jérôme-Forget tables economic statement
- By: James Langton
- January 14, 2009 January 14, 2009
- 15:55
Joint investor conference to meet in Washington, D.C.
The International Forum for Investor Education and the International Organization of Securities Commissions announced that they are holding their second joint investor education conference March…
- By: James Langton
- January 14, 2009 January 14, 2009
- 12:39
UK regulator welcomes proposed new “immunity notices” power
The UK’s Financial Services Authority is welcoming proposals announced by the British government that would give it new statutory powers, including the power to grant…
- By: James Langton
- January 14, 2009 January 14, 2009
- 12:36
Ex-Celestica employee accused of insider trading
Thakur had unauthorized access to confidential e-mail, OSC alleges
- By: IE Staff
- January 14, 2009 January 14, 2009
- 08:30
Quebec will continue to oppose single securities regulator
Province would go to court to oppose federal legislation
- By: James Langton
- January 13, 2009 January 13, 2009
- 16:10
Flaherty welcomes report on single securities regulator for Canada
Ottawa to include measures in 2009 budget
- By: IE Staff
- January 13, 2009 January 13, 2009
- 08:03
Expert Panel calls for single securities regulator
Ontario, IIAC pleased with panel’s recommendations
- By: James Langton
- January 13, 2009 January 13, 2009
- 07:50
Alberta opposed to single federal regulator
Province calls on Ontario to join passport system
- By: James Langton
- January 12, 2009 January 12, 2009
- 17:50
Mexico’s Ortiz named chairman of BIS
The Bank for International Settlements’ board elected its new chairman Monday, Guillermo Ortiz, governor of the Bank of Mexico.Ortiz will succeed Jean-Pierre Roth, who has…
- By: James Langton
- January 12, 2009 January 12, 2009
- 16:15
Biovail to pay $5 million fine to OSC
Firm admits it mislead investors
- By: IE Staff
- January 11, 2009 January 11, 2009
- 17:10
Ottawa eyes improving regulation of private pensions
Flaherty releases discussion paper
- By: IE Staff
- January 11, 2009 January 11, 2009
- 16:15
Regulators turn away from TREATS
CSA decides not to proceed with Transaction Reporting and Electronic Audit Trail System
- By: James Langton
- January 11, 2009 January 11, 2009
- 15:30
No plans to increase capital targets for banks, OSFI head says
Canadian banks better positioned than most to deal with “second wave” of economic downturn
- By: James Langton
- January 8, 2009 January 8, 2009
- 14:10
CSA stresses disclosure obligations during current market conditions
Clear disclosure will be important to help investors understand risks, regulators say
- By: IE Staff
- January 8, 2009 January 8, 2009
- 12:20
UK regulator fines Aon unit for suspicious payments
The UK’s Financial Services Authority announced that it has levied its largest fine related to financial crime against insurance firm Aon Ltd. for failing to…
- By: James Langton
- January 8, 2009 January 8, 2009
- 11:45