UK regulator clamps down on short selling
FSA banks shorting financial stocks
- By: James Langton
- September 18, 2008 September 18, 2008
- 14:55
Latest news in From the Regulators
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
IIROC fines Questrade for capital deficiency
On Sept. 4, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Questrade Inc.As…
- By: IE Staff
- September 16, 2008 September 16, 2008
- 16:15
Fed leaves interest rates unchanged
Inflation expected to moderate
- By: James Langton
- September 16, 2008 September 16, 2008
- 15:50
Fed pumps US$50 billion into financial system
Central banks move to inject liquidity
- By: IE Staff
- September 16, 2008 September 16, 2008
- 10:10
IIROC to consider penalty for Blackmont rep
Futher conducted discretionary trades in accounts with out approval
- By: IE Staff
- September 15, 2008 September 15, 2008
- 14:10
ASC fines Cooke $100,000 for selling unregistered securities worth $12.5 million
Regulator reaches settlement with Integra Investment director
- By: IE Staff
- September 15, 2008 September 15, 2008
- 10:25
Paulson committed to maintaining the stability of financial markets
U.S. Treasury Secretary confident Lehman subs can continue operations
- By: James Langton
- September 15, 2008 September 15, 2008
- 08:10
Federal Reserve sets initiatives to limit market disruption
U.S. central bank working with banks to ensure liquidity
- By: James Langton
- September 15, 2008 September 15, 2008
- 07:30
Firms directly regulated by CSA must adopt International Financial Reporting Standards by 2011
Regulators considering whether all registrants should be required by securities rules to use IFRS
- By: James Langton
- September 12, 2008 September 12, 2008
- 14:15
16% of issuers required to refile in 2008: OSC report
452 reviews conducted by corporate finance branch
- By: IE Staff
- September 12, 2008 September 12, 2008
- 11:30
Bank of Canada revises asset eligibility requirements for Standing Liquidity Facility
The Bank of Canada has revised the eligibility requirements for certain assets that it will accept under the Standing Liquidity Facility.Since August 2007, the central…
- By: IE Staff
- September 12, 2008 September 12, 2008
- 08:20
Investors in Locate Technologies and Tubtron Controls have an opportunity to get their money back
NBSC settles with Alberta respondents
- By: IE Staff
- September 9, 2008 September 9, 2008
- 14:20
NBSC imposes 10-year ban Toronto man
Park fined $15,000 for failing to ensure clients qualified as accredited investors
- By: IE Staff
- September 9, 2008 September 9, 2008
- 14:09
Alberta court finds Calgary man guilty of breaching ASC Order
An Alberta Provincial Court judge has found David Del Bianco guilty of 10 counts of failing to comply with a Feb. 14, 2003 Alberta Securities…
- By: IE Staff
- September 9, 2008 September 9, 2008
- 13:55
Ontario approves revisions to best execution obligations
Amendments come into force in Ontario on September 12
- By: James Langton
- September 7, 2008 September 7, 2008
- 13:10
Canadian regulators to host XBRL panel discussion
Representatives from the Canadian Securities Administrators (CSA) will hold a free information session for industry participants on the increasing use and importance of XBRL (eXtensible…
- By: IE Staff
- September 5, 2008 September 5, 2008
- 11:20