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
Latest news in From the Regulators
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
FINTRAC ramps up financial intelligence
Detection and deterrence of money laundering and terrorist activity financing strengthens Canada’s security
- By: Megan Harman
- December 4, 2008 December 4, 2008
- 14:45
SEC stresses importance of compliance programs
Letter warns CEO not to neglect responsibilities
- By: James Langton
- December 2, 2008 December 2, 2008
- 16:10
Ontario seeks input on regulations for locked-in accounts
Comments due Feb. 13, 2009
- By: James Langton
- December 2, 2008 December 2, 2008
- 13:30
Basel Committee reports on ongoing efforts to improve quality of bank audits
The Basel Committee on Banking Supervision released a paper Tuesday that details the importance of audit quality in banks, particularly due to an increased reliance…
- By: James Langton
- December 2, 2008 December 2, 2008
- 12:50
Fed extending liquidity measures
The U.S. Federal Reserve Board announced Tuesday that it is extending several of its new liquidity initiatives through the spring.Three of the Fed’s new liquidity…
- By: James Langton
- December 2, 2008 December 2, 2008
- 12:40
NY Fed begins search for Geithner’s replacement
The Federal Reserve Bank of New York’s board of directors has begun its search for a new chief.The board announced that it has created a…
- By: James Langton
- December 1, 2008 December 1, 2008
- 16:10
Investment firm fined for breaching BCSC cease trade order
Jones, Gable to pay $2,000
- By: IE Staff
- December 1, 2008 December 1, 2008
- 09:50
OSC issues guidelines for executive director’s settlements
Settlements provide an opportunity for early resolution of matters before the formal commencement of proceedings
- By: James Langton
- November 30, 2008 November 30, 2008
- 16:33
Regulators approve changes to MFDA by-laws
Amendments remove the definition of “public director”
- By: James Langton
- November 30, 2008 November 30, 2008
- 16:10