Bank of Canada to boost money market liquidity by $8 billion
New term loan facility unveiled
- By: James Langton
- November 12, 2008 November 12, 2008
- 14:25
Latest news in From the Regulators
U.S. Fed, Treasury, FDIC urge banks to lend
Agencies call on banking organizations to review management compensation policies
- By: James Langton
- November 12, 2008 November 12, 2008
- 11:50
FSA calls for greater international cooperation to tackle boiler room fraud
The UK’s Financial Services Authority is calling on regulators and law enforcement agencies from around the world, including the U.S. Securities and Exchange Commission and…
- By: James Langton
- November 10, 2008 November 10, 2008
- 16:40
OSFI mulls revisions to guidelines
The Office of the Superintendent of Financial Institutions is revising guidelines to accommodate accounting rule changes regarding financial instrument disclosure.As a result of this new…
- By: James Langton
- November 10, 2008 November 10, 2008
- 16:30
Finance moves to implement proposed amendments to functional currency tax reporting rules
The federal government has released draft legislative proposals to implement amendments to the functional currency tax reporting rules.“The proposals I am announcing today will improve…
- By: IE Staff
- November 10, 2008 November 10, 2008
- 15:45
ASC bans B.C. investment promoters
Commodity futures scheme resulted in investor losses of US$7 million
- By: Megan Harman
- November 10, 2008 November 10, 2008
- 12:15
Regulators issue draft revision to capital requirements for life insurance cos.
Revised document incorporates suggestions following from March 2008 discussion paper
- By: James Langton
- November 9, 2008 November 9, 2008
- 16:50
SEC approves plan for selection and reservation of securities symbols
The U.S. Securities and Exchange Commission has approved a plan that establishes a process for reserving, selecting, and allocating securities symbols, the regulator announced Thursday.The…
- By: James Langton
- November 6, 2008 November 6, 2008
- 16:35
CIBC Trust fined by Quebec regulator
Firm failed to submit risk assessment questionnaire
- By: James Langton
- November 6, 2008 November 6, 2008
- 16:30
MF Global fined $25,000
IIROC member disciplined for violating capital by-law
- By: IE Staff
- November 6, 2008 November 6, 2008
- 15:45
IIROC suspends membership of Evergreen Capital Partners
A hearing panel of the Investment Industry Regulatory Organization of Canada has suspended the membership of Evergreen Capital Partners Inc., IIROC reported Wednesday.Evergreen has ceased…
- By: IE Staff
- November 5, 2008 November 5, 2008
- 17:20
Quebec bill seeks to overhaul oversight system of dealers, advisors
Mutual fund managers would need to register with AMF
- By: James Langton
- November 5, 2008 November 5, 2008
- 16:10
NBSC orders stock promoter to pay $225,000
Niles and BCS ignored court order instructing them not to trade
- By: IE Staff
- November 5, 2008 November 5, 2008
- 09:45
Former RBC DS rep fined $25,000
Fan breached client trust
- By: IE Staff
- November 4, 2008 November 4, 2008
- 15:25
IIROC fines Blackmont rep $20,000
Futher suspended for 60 days
- By: IE Staff
- November 4, 2008 November 4, 2008
- 14:45
Fed issues warning on bogus consumer loan program
The U.S. Federal Reserve Board warned Tuesday that people seeking loans are being enticed with fraudulent promises of access to a non-existent Fed facility.The Fed…
- By: James Langton
- November 4, 2008 November 4, 2008
- 13:03
FSA proposes new framework to regulate retail banking
The U.K. Financial Services Authority has published a consultation paper proposing a new framework to regulate the way that banks treat their retail customers.Next year,…
- By: James Langton
- November 4, 2008 November 4, 2008
- 12:50
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
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