Saskatchewan regulator ramps up efforts to investigate complaints from investors
SFSC moves to implement recommendations of Chambers report
- By: James Langton
- November 4, 2008 November 4, 2008
- 11:45
Latest news in From the Regulators
Bank of Canada unveils new management structure
New structure creates more integrated lines of business
- By: James Langton
- November 3, 2008 November 3, 2008
- 16:40
ECB supports central clearance for credit default swaps
The European Central Bank hosted a meeting on Monday with European stakeholders concerning the establishment of central counterparties for credit default swaps (CDS).Participants in the…
- By: James Langton
- November 3, 2008 November 3, 2008
- 16:25
OSC asks court to appoint receiver for ASL Direct
The Ontario Securities Commission has filed an application with the Superior Court of Justice seeking an order appointing a receiver and manager of all the…
- By: Megan Harman
- November 2, 2008 November 2, 2008
- 12:15
Banking and insurance CEOs rate OSFI’s performance
Room for improvement in developing regulations and guidance
- By: James Langton
- October 31, 2008 October 31, 2008
- 09:15
Three B.C. men banned from capital markets
Trio illegally distributed shares of three companies
- By: IE Staff
- October 31, 2008 October 31, 2008
- 08:45
SEC charges Lazard Capital for improper gifts and entertainment to Fidelity traders
The U.S. Securities and Exchange Commission charged broker-dealer Lazard Capital Markets LLC and three employees for improperly entertaining traders at Fidelity Investments.The firm was charged…
- By: James Langton
- October 31, 2008 October 31, 2008
- 07:40
Banking ombudsman given broader mandate
OBSI will be following up on potential systemic issues that arise out of individual complaint files
- By: James Langton
- October 30, 2008 October 30, 2008
- 15:15
OSFI issues new guidelines on securitization
More capital required to support complex securitization exposures
- By: James Langton
- October 29, 2008 October 29, 2008
- 08:50
OSFI eases capital requirements for seg funds
Market turmoil moves regulator to update rules
- By: IE Staff
- October 29, 2008 October 29, 2008
- 08:45
Tip leads to NBSC cease trade order
Two securities companies were ordered in September by a New Brunswick Securities Commission (NBSC) panel to cease trading in all securities after a New Brunswick…
- By: IE Staff
- October 28, 2008 October 28, 2008
- 13:15
Bank of England warns of more risks to financial system
Central bank calls for rethink of how to safeguard against systemic risk
- By: James Langton
- October 28, 2008 October 28, 2008
- 07:20
IIROC disciplines former Desjardins rep for irregular opening of accounts
Bergeron suspended; fined $50,000
- By: IE Staff
- October 27, 2008 October 27, 2008
- 15:15
MF Global rep fined for manipulating securities prices
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement between IIROC staff and Martin Fabi, a registered…
- By: IE Staff
- October 27, 2008 October 27, 2008
- 14:40
Ottawa, Quebec extend bank lending program to Caisse centrale Desjardins
Federal government willing to work with other provinces whose credit union centrals are not federally regulated
- By: IE Staff
- October 27, 2008 October 27, 2008
- 13:10
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
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