The U.S. Securities and Exchange Commission has approved a plan that establishes a process for reserving, selecting, and allocating securities symbols, the regulator announced Thursday.The…
Firm failed to submit risk assessment questionnaire
IIROC member disciplined for violating capital by-law
A hearing panel of the Investment Industry Regulatory Organization of Canada has suspended the membership of Evergreen Capital Partners Inc., IIROC reported Wednesday.Evergreen has ceased…
Mutual fund managers would need to register with AMF
Niles and BCS ignored court order instructing them not to trade
Fan breached client trust
Futher suspended for 60 days
The U.S. Federal Reserve Board warned Tuesday that people seeking loans are being enticed with fraudulent promises of access to a non-existent Fed facility.The Fed…
The U.K. Financial Services Authority has published a consultation paper proposing a new framework to regulate the way that banks treat their retail customers.Next year,…
SFSC moves to implement recommendations of Chambers report
New structure creates more integrated lines of business
The European Central Bank hosted a meeting on Monday with European stakeholders concerning the establishment of central counterparties for credit default swaps (CDS).Participants in the…
The Ontario Securities Commission has filed an application with the Superior Court of Justice seeking an order appointing a receiver and manager of all the…
Room for improvement in developing regulations and guidance
Trio illegally distributed shares of three companies
The U.S. Securities and Exchange Commission charged broker-dealer Lazard Capital Markets LLC and three employees for improperly entertaining traders at Fidelity Investments.The firm was charged…
OBSI will be following up on potential systemic issues that arise out of individual complaint files
More capital required to support complex securitization exposures
Market turmoil moves regulator to update rules
Two securities companies were ordered in September by a New Brunswick Securities Commission (NBSC) panel to cease trading in all securities after a New Brunswick…
Central bank calls for rethink of how to safeguard against systemic risk
Bergeron suspended; fined $50,000
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement between IIROC staff and Martin Fabi, a registered…
Federal government willing to work with other provinces whose credit union centrals are not federally regulated