IIROC gets additional powers to crack down on abusive short selling
Provisions also address failed trade activity
- By: James Langton
- October 16, 2008 October 16, 2008
- 07:30
Latest news in From the Regulators
Bank of Canada to sell $1.8 billion of treasury bills
Sale will partially offset previously announce term purchase and resale transactions
- By: James Langton
- October 15, 2008 October 15, 2008
- 08:50
U.S. Treasury announces executive compensation rules under bank re-capitalization plan
The U.S. Treasury Department has announced new executive compensation rules that will apply under its planned bailout measures.Treasury today announced a US$25 billon plan to…
- By: James Langton
- October 14, 2008 October 14, 2008
- 09:20
Central banks move to restore confidence in financial markets
Bank of Canada acts to boost market liquidity; U.S. government to buy banking shares
- By: James Langton
- October 14, 2008 October 14, 2008
- 09:10
OSC names continuous disclosure advisory committee members
The Ontario Securities Commission has announced the new membership of the Continuous Disclosure Advisory Committee (CDAC) for 2008 – 2010.The CDAC is comprised of members…
- By: IE Staff
- October 10, 2008 October 10, 2008
- 14:55
Ottawa to purchase up to $25 billion in mortgage pools
Banks lower prime lending rate
- By: IE Staff
- October 10, 2008 October 10, 2008
- 13:30
IOSCO Emerging Markets Committee addresses credit crisis
The International Organization of Securities Commissions Emerging Markets Committee announced that it will study the implications of the financial crisis for emerging market countries in…
- By: James Langton
- October 10, 2008 October 10, 2008
- 09:20
Supreme Court reinstates damages in broker-raiding case
Damages for breach are the amount of loss it caused to DS, court rules
- By: James Langton
- October 9, 2008 October 9, 2008
- 11:15
RBC Capital Markets disciplined for trading violations
NYSE Regulation has fined RBC Capital Markets Corp. for alleged trading violations.An NYSE hearing officer found that on numerous occasions from Oct. 13, 2004, through…
- By: James Langton
- October 8, 2008 October 8, 2008
- 16:05
OSFI updates financial institutions on the need for IFRS progress reviews
The Office of the Superintendent of Financial Institutions has issued a letter to federally regulated financial institutions regarding their progress to the transition to International…
- By: James Langton
- October 8, 2008 October 8, 2008
- 10:30
SEC announces terms of “mark-to-market” accounting study
The report will look at accounting standards and the impact of bank failures, among other things
- By: James Langton
- October 7, 2008 October 7, 2008
- 16:44
Central banks unveil schedules for term and forward auctions of U.S. dollar liquidity for Q4
Several of the world’s major central banks are spelling out their latest new measures aimed at pumping up market liquidity.The banks, led by the U.S.…
- By: IE Staff
- October 7, 2008 October 7, 2008
- 08:50
IIROC finds no short-selling manipulation
The regulator has increased the surveillance of trading activity on Canadian equity marketplaces during the current market turmoil
- By: IE Staff
- October 6, 2008 October 6, 2008
- 14:31
CSA releases proposals in response to ABCP market freeze
New proposals would require prospectus to sell ABCP short-term debt
- By: IE Staff
- October 6, 2008 October 6, 2008
- 12:55
ASC extends temporary order prohibiting short selling of financial stocks
The Alberta Securities Commission has extended an order temporarily prohibiting short sales of certain financial sector securities listed on the Toronto Stock Exchange. The extended…
- By: IE Staff
- October 6, 2008 October 6, 2008
- 12:50
IOSCO seeks comment on regulatory standards for funds of hedge funds
The International Organization of Securities Commissions has published for public consultation a series of proposals designed to address regulatory issues concerning retail investor involvement in…
- By: James Langton
- October 6, 2008 October 6, 2008
- 10:10
U.S. Treasury, Fed pledge additional support for financial markets
U.S. Treasury, Fed pledge additional support for financial markets
- By: James Langton
- October 6, 2008 October 6, 2008
- 09:45
OSC extends temporary ban on short-selling
Ban to expire next week, at the same time the SEC’s ban also expires
- By: IE Staff
- October 5, 2008 October 5, 2008
- 15:25
OSC seeks comments on fee model proposal
New fee model would rely on historical data and eliminate special participation fees, among other changes
- By: James Langton
- October 5, 2008 October 5, 2008
- 15:20
MFDA to limit delivery of leverage disclosure documents
The Mutual Fund Dealers Association of Canada is seeking to exempt reps from delivering leverage disclosure when it’s not relevant.The MFDA is proposing amendments to…
- By: James Langton
- October 5, 2008 October 5, 2008
- 15:15
U.S. CFTC obtains US$630 million in penalties in fiscal 2008
Enforcement division filed 40 new actions for manipulation or attempted manipulation in the energy markets
- By: James Langton
- October 2, 2008 October 2, 2008
- 13:18
IOSCO establishes task force on regulation of commodities markets
The task force will look at the evolution of commodities futures markets and whether supervisory approaches are keeping pace
- By: James Langton
- October 1, 2008 October 1, 2008
- 14:06
Court finds Demers guilty on all charges
The AMF is seeking prison terms and fines totalling more than $2.5 million, as well as costs
- By: James Langton
- September 30, 2008 September 30, 2008
- 16:12
SEC, FASB in consultations on fair-value measurements
Certain players say the use of fair-value accounting should be suspended for financial institutions
- By: James Langton
- September 30, 2008 September 30, 2008
- 16:07
MFDA asks members for more information
The self-regulatory organization is seeking more info on firms’ regulatory capital positions
- By: James Langton
- September 28, 2008 September 28, 2008
- 15:35