SEC announces terms of “mark-to-market” accounting study
The report will look at accounting standards and the impact of bank failures, among other things
- By: James Langton
- October 7, 2008 October 7, 2008
- 16:44
Latest news in From the Regulators
Central banks unveil schedules for term and forward auctions of U.S. dollar liquidity for Q4
Several of the world’s major central banks are spelling out their latest new measures aimed at pumping up market liquidity.The banks, led by the U.S.…
- By: IE Staff
- October 7, 2008 October 7, 2008
- 08:50
IIROC finds no short-selling manipulation
The regulator has increased the surveillance of trading activity on Canadian equity marketplaces during the current market turmoil
- By: IE Staff
- October 6, 2008 October 6, 2008
- 14:31
CSA releases proposals in response to ABCP market freeze
New proposals would require prospectus to sell ABCP short-term debt
- By: IE Staff
- October 6, 2008 October 6, 2008
- 12:55
ASC extends temporary order prohibiting short selling of financial stocks
The Alberta Securities Commission has extended an order temporarily prohibiting short sales of certain financial sector securities listed on the Toronto Stock Exchange. The extended…
- By: IE Staff
- October 6, 2008 October 6, 2008
- 12:50
IOSCO seeks comment on regulatory standards for funds of hedge funds
The International Organization of Securities Commissions has published for public consultation a series of proposals designed to address regulatory issues concerning retail investor involvement in…
- By: James Langton
- October 6, 2008 October 6, 2008
- 10:10
U.S. Treasury, Fed pledge additional support for financial markets
U.S. Treasury, Fed pledge additional support for financial markets
- By: James Langton
- October 6, 2008 October 6, 2008
- 09:45
OSC extends temporary ban on short-selling
Ban to expire next week, at the same time the SEC’s ban also expires
- By: IE Staff
- October 5, 2008 October 5, 2008
- 15:25
OSC seeks comments on fee model proposal
New fee model would rely on historical data and eliminate special participation fees, among other changes
- By: James Langton
- October 5, 2008 October 5, 2008
- 15:20
MFDA to limit delivery of leverage disclosure documents
The Mutual Fund Dealers Association of Canada is seeking to exempt reps from delivering leverage disclosure when it’s not relevant.The MFDA is proposing amendments to…
- By: James Langton
- October 5, 2008 October 5, 2008
- 15:15
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
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