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
Latest news in From the Regulators
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
Regulators keep eye on crisis
CSA, IIROC assure investors that they are taking the necessary steps to deal with market turmoil both in Canada and elsewhere
- By: Megan Harman
- September 28, 2008 September 28, 2008
- 11:59
SEC taking steps to modernize disclosure system
Roundtable discussions will advise SEC on transition from forms-based system to one that is more dynamic and user friendly
- By: James Langton
- September 25, 2008 September 25, 2008
- 16:17
Banking regulators endorse Basel Committee liquidity principles
The new liquidity principles should help promote better risk management, says insider
- By: James Langton
- September 25, 2008 September 25, 2008
- 09:53
OSFI alerts institutions to proliferation financing
Report from FATF analyzes the methodologies that proliferators and facilitators use
- By: James Langton
- September 23, 2008 September 23, 2008
- 11:07
Serving seniors: best practices
A joint report released on Monday outlines ways that firms can strengthen their policies and procedures for serving older investors
- By: James Langton
- September 22, 2008 September 22, 2008
- 15:38
AMF charges former Mount Real officials
A total of 682 charges are being laid against five individuals, carrying a total of $551.5 million in fines
- By: Megan Harman
- September 22, 2008 September 22, 2008
- 15:20
U.S. regulators to address root cause of financial markets turmoil, Paulson says
Government buying up illiquid mortgage-backed securities
- By: James Langton
- September 21, 2008 September 21, 2008
- 10:10
U.S. Treasury to shore up money market funds
Two Fed initiatives aimed at providing liquidity to markets
- By: James Langton
- September 21, 2008 September 21, 2008
- 08:30
SEC halts short selling of financial stocks
Action taken to protect investors and markets
- By: James Langton
- September 19, 2008 September 19, 2008
- 07:40
U.S. agency to place Lehman brokerage in liquidation
U.S. agency to place Lehman brokerage in liquidation
- By: James Langton
- September 18, 2008 September 18, 2008
- 15:30
UK regulator clamps down on short selling
FSA banks shorting financial stocks
- By: James Langton
- September 18, 2008 September 18, 2008
- 14:55
CSA implements improvements to executive compensation disclosure
New form takes effect Dec. 31
- By: IE Staff
- September 18, 2008 September 18, 2008
- 11:10
Central banks join forces to calm money markets
Bank of Canada and the Fed agree on a US$10 billion swap facility
- By: James Langton
- September 18, 2008 September 18, 2008
- 07:15
IIROC extends comment period for financial planning rule
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…
- By: James Langton
- September 17, 2008 September 17, 2008
- 15:25
SEC strengthens short selling rules
Rules now apply to securities of all public companies
- By: James Langton
- September 17, 2008 September 17, 2008
- 13:30
Bank of England extends liquidity program
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…
- By: James Langton
- September 17, 2008 September 17, 2008
- 13:10
SEC pleased with proposed Barclays deal for Lehman
“Welcome news” for Lehman customers, regulator says
- By: James Langton
- September 17, 2008 September 17, 2008
- 13:10
U.S. Treasury announces supplementary financing program to support Fed efforts
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…
- By: James Langton
- September 17, 2008 September 17, 2008
- 10:30
Fed takes control of AIG with US$85 billion bailout
U.S. government to take 80% stake in insurance giant
- By: James Langton
- September 17, 2008 September 17, 2008
- 08:50
Ex-Raymond James rep suspended for 30 days
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…
- By: IE Staff
- September 16, 2008 September 16, 2008
- 16:45