BCSC panel orders frauster to pay more than $440,000 in penalties
Former VCE officer diverted investors’s funds for personal gain
- By: IE Staff
- October 27, 2008 October 27, 2008
- 08:50
Latest news in From the Regulators
Former Agnico exec guilty of insider trading
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…
- By: Megan Harman
- October 26, 2008 October 26, 2008
- 14:15
B.C. court upholds IDA’s jurisdiction over former members
Dass decision contradicts Taub ruling
- By: James Langton
- October 26, 2008 October 26, 2008
- 12:15
Lending plan eases pressure on Canadian banks: S&P
Program keeps banks competitive on the international funding scene
- By: Megan Harman
- October 26, 2008 October 26, 2008
- 11:45
Final draft of point-of-sale disclosure regime for funds published
Revisions made to delivery requirements and proposed cooling-off right
- By: James Langton
- October 26, 2008 October 26, 2008
- 10:50
Regulators grant Alpha ATS relief from stock exchange requirements
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…
- By: James Langton
- October 24, 2008 October 24, 2008
- 13:35
Bank of Canada unveils details of Term PRA Facility for private sector money market instruments
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…
- By: James Langton
- October 23, 2008 October 23, 2008
- 15:35
BMO Nesbitt Burns fined for using improper sales literature
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,…
- By: IE Staff
- October 23, 2008 October 23, 2008
- 14:15
ESCB, CESR consult on recommendations for securities clearing and settlement systems
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…
- By: James Langton
- October 23, 2008 October 23, 2008
- 12:55
UK regulator publishes draft rules for contracts for difference disclosure
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…
- By: James Langton
- October 23, 2008 October 23, 2008
- 12:50
IIROC extends comment period on registration reform
New deadline is Dec. 29
- By: James Langton
- October 23, 2008 October 23, 2008
- 10:35
Ottawa unveils Canadian Lenders Assurance Facility to support banks
Temporary program guarantees wholesale term borrowing
- By: Megan Harman
- October 23, 2008 October 23, 2008
- 09:40
Provinces call on Ontario to join securities passport effort
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…
- By: James Langton
- October 23, 2008 October 23, 2008
- 09:30
Market manipulation cases jump more than 45%: SEC
Regulator releases fiscal 2008 enforcement results
- By: James Langton
- October 22, 2008 October 22, 2008
- 15:20
BCSC seminars promote financial skills for high school students
Web-based teacher resource provides hands-on approach to learning
- By: Megan Harman
- October 22, 2008 October 22, 2008
- 13:11
OSFI monitoring share buy-back programs
Financial institutions told to consult regulator before using capital to buy back shares
- By: James Langton
- October 22, 2008 October 22, 2008
- 10:55
UK short selling ban to continue
FSA completes 30-day review
- By: James Langton
- October 22, 2008 October 22, 2008
- 07:50
SIFMA in favour of stability regulator
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,…
- By: James Langton
- October 21, 2008 October 21, 2008
- 15:54
Pension body seeks comment on the regulation of multi-jurisdictional pension plans
Proposed agreement addresses a number of complex issues, CAPSA says
- By: James Langton
- October 21, 2008 October 21, 2008
- 15:51
Fed unveils new plan to assist money market funds
MMIFF should improve liquidity position of money market investors
- By: James Langton
- October 21, 2008 October 21, 2008
- 09:35
Bank of Canada to sell $500 million of treasury bills
The Bank of Canada says it will sell another $550 million of its holdings of treasury bills.The sale will partially offset the temporary increase in…
- By: James Langton
- October 20, 2008 October 20, 2008
- 15:10
Ontario, Quebec regulators set details for overseeing TMX Group
The Ontario Securities Commission has approved a memorandum of understanding with Quebec’s Autorité des marches financiers, which sets out how they will cooperate to oversee…
- By: James Langton
- October 19, 2008 October 19, 2008
- 15:25
Canadian accounting rules eased for financial assets
Changes will allow companies to reclassify some financial instruments to allow them to avoid fair-value accounting treatment
- By: James Langton
- October 19, 2008 October 19, 2008
- 13:10
CSA seeks input on proposed trade-through protection rule
Rule would require each marketplace to enforce procedures to ensure that better-priced orders are executed first
- By: IE Staff
- October 19, 2008 October 19, 2008
- 11:15
IIROC report reveals gaps in due diligence regarding third-party ABCP
Report makes recommendations on transparency, conflicts of interest, and use of credit ratings
- By: IE Staff
- October 19, 2008 October 19, 2008
- 10:50