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
Enforcement division filed 40 new actions for manipulation or attempted manipulation in the energy markets
The task force will look at the evolution of commodities futures markets and whether supervisory approaches are keeping pace
The AMF is seeking prison terms and fines totalling more than $2.5 million, as well as costs
Certain players say the use of fair-value accounting should be suspended for financial institutions
The self-regulatory organization is seeking more info on firms’ regulatory capital positions
CSA, IIROC assure investors that they are taking the necessary steps to deal with market turmoil both in Canada and elsewhere
Roundtable discussions will advise SEC on transition from forms-based system to one that is more dynamic and user friendly
The new liquidity principles should help promote better risk management, says insider
Report from FATF analyzes the methodologies that proliferators and facilitators use
A joint report released on Monday outlines ways that firms can strengthen their policies and procedures for serving older investors
A total of 682 charges are being laid against five individuals, carrying a total of $551.5 million in fines
Government buying up illiquid mortgage-backed securities
Two Fed initiatives aimed at providing liquidity to markets
Action taken to protect investors and markets
U.S. agency to place Lehman brokerage in liquidation
FSA banks shorting financial stocks
New form takes effect Dec. 31
Bank of Canada and the Fed agree on a US$10 billion swap facility
The Investment Industry Regulatory Organization of Canada (IIROC) is extending the comment period for its proposed financial planning rule for another month.Last month IIROC proposed…
Rules now apply to securities of all public companies
In response to growing market turmoil, the Bank of England has decided to extend the time that financial institutions have to tap into the Special…
“Welcome news” for Lehman customers, regulator says
The U.S. Treasury Department today announced a special new financing program to support the U.S. Federal Reserve’s recent efforts to maintain market liquidity and support…
U.S. government to take 80% stake in insurance giant
Following a disciplinary hearing held on March 6, in Vancouver, a hearing panel of the Investment Dealers Association of Canada (IDA) has fined suspended Ron…