Latest news in From the Regulators

KPMG appointed receiver of ASL Direct

  • By: IE Staff
  • November 18, 2008 November 18, 2008
  • 11:50

MFDA suspends Laurier Capital membership

  • By: IE Staff
  • November 17, 2008 November 17, 2008
  • 16:10

CRA revokes charitable status from Pinnacle Foundation

CSA pushes back target date for registration reform

Conditions placed on N.B. mutual fund dealer

  • By: IE Staff
  • November 14, 2008 November 14, 2008
  • 12:15

U.S. moves to step up derivatives regulation

Police remove suspicious packages from Bank of Canada HQ

Federal government buying $50 billion more in mortgages

  • By: IE Staff
  • November 12, 2008 November 12, 2008
  • 16:25

Bank of Canada to boost money market liquidity by $8 billion

U.S. Fed, Treasury, FDIC urge banks to lend

FSA calls for greater international cooperation to tackle boiler room fraud

OSFI mulls revisions to guidelines

Finance moves to implement proposed amendments to functional currency tax reporting rules

  • By: IE Staff
  • November 10, 2008 November 10, 2008
  • 15:45

ASC bans B.C. investment promoters

Regulators issue draft revision to capital requirements for life insurance cos.

SEC approves plan for selection and reservation of securities symbols

CIBC Trust fined by Quebec regulator

MF Global fined $25,000

  • By: IE Staff
  • November 6, 2008 November 6, 2008
  • 15:45

IIROC suspends membership of Evergreen Capital Partners

  • By: IE Staff
  • November 5, 2008 November 5, 2008
  • 17:20

Quebec bill seeks to overhaul oversight system of dealers, advisors

NBSC orders stock promoter to pay $225,000

  • By: IE Staff
  • November 5, 2008 November 5, 2008
  • 09:45

Former RBC DS rep fined $25,000

  • By: IE Staff
  • November 4, 2008 November 4, 2008
  • 15:25

IIROC fines Blackmont rep $20,000

  • By: IE Staff
  • November 4, 2008 November 4, 2008
  • 14:45

Fed issues warning on bogus consumer loan program

FSA proposes new framework to regulate retail banking