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
Former VCE officer diverted investors’s funds for personal gain
The Ontario Court of Justice found Barry Landen, a former senior officer at Agnico-Eagle Mines Ltd., guilty of insider trading on Friday. The Ontario Securities…
Dass decision contradicts Taub ruling
Program keeps banks competitive on the international funding scene
Revisions made to delivery requirements and proposed cooling-off right
The proposed new alternative trading system, Alpha ATS, has received certain regulatory relief.The decision, reported in Friday’s OSC Bulletin, indicates that it has received relief…
The Bank of Canada has announced the details of a new liquidity facility that will be available to firms other than primary dealers.On October 14…
A hearing panel of the Investment Industry Regulatory Organization of Canada has fined BMO Nesbitt Burns Inc. $300,000 for using improper sales literature.On Oct. 10,…
The European System of Central Banks and the Committee of European Securities Regulators published recommendations for securities clearing and settlement systems and central counterparties in…
The UK’s Financial Services has published rules that will implement a new disclosure regime for contracts for difference.The FSA published a consultation paper about CFDs…
New deadline is Dec. 29
Temporary program guarantees wholesale term borrowing
A group of provincial ministers continues to call for Ontario to join the passport system of securities regulation.On Tuesday, the Provincial-Territorial Council of Ministers of…
Regulator releases fiscal 2008 enforcement results
Web-based teacher resource provides hands-on approach to learning
Financial institutions told to consult regulator before using capital to buy back shares
FSA completes 30-day review
The Securities Industry and Financial Markets Association is calling on the U.S. Congress to establish a new market stability regulator.SIFMA’s president and CEO, Tim Ryan,…
Proposed agreement addresses a number of complex issues, CAPSA says
MMIFF should improve liquidity position of money market investors