Joint Standing Committee seeks investor feedback on product suitability
Comments due by October 9
- By: IE Staff
- September 4, 2008 September 4, 2008
- 15:25
Latest news in From the Regulators
FINRA sanctions three brokers for sales of CMOs to retail investors
The Financial Industry Regulatory Authority announced that it has banned two brokers and suspended a third, for misconduct in the sale of complex Collateralized Mortgage…
- By: James Langton
- September 4, 2008 September 4, 2008
- 15:10
OSC releases results of 2008 compliance reviews
Report notes top three deficiencies
- By: IE Staff
- September 4, 2008 September 4, 2008
- 14:30
MDFA fines rep for misappropriating funds
Leclair permanently banned for failing to cooperate with investigation
- By: IE Staff
- September 3, 2008 September 3, 2008
- 15:15
FINRA expels Texas brokerage firm
Illegal sales of unregistered penny stocks lead to fines, suspension
- By: IE Staff
- September 3, 2008 September 3, 2008
- 13:10
SEC charges two in auction rate probe
Former Wall Street brokers charge US$1 billion subprime-related securities fraud
- By: James Langton
- September 3, 2008 September 3, 2008
- 12:45
BCSC makes reciprocal orders based on Manitoba and Ontario decisions
British Columbia Securities Commission panels have made reciprocal orders in four decisions against four individuals who were sanctioned by the Manitoba and the Ontario Securities…
- By: IE Staff
- September 3, 2008 September 3, 2008
- 09:25
Federal rules address key concerns with PPNs, CSA says
Regulators working with SROs to ensure that KYC and suitability obligations apply to all dealings in PPNs
- By: James Langton
- September 1, 2008 September 1, 2008
- 09:20
MDFA looking to extend suspension of rule outlawing use of personal corporations
Provincial regulators willing to consider shorter extension
- By: James Langton
- September 1, 2008 September 1, 2008
- 08:50
U.S. set to adopt IFRS rules
SEC sets out multiyear plan that could lead to the use of International Financial Reporting Standards by U.S. issuers
- By: James Langton
- August 28, 2008 August 28, 2008
- 07:15
Webinars to explain new compliance rules to Ontario mortgage brokers
The Financial Services Commission of Ontario announced a series of webinars for principal brokers, designed to prepare them for new business rules and regulations coming…
- By: IE Staff
- August 27, 2008 August 27, 2008
- 15:25
SEC votes to modernize disclosure requirements for foreign companies
Proposed rule amendments will make it easier for investors to gain access to timely financial information
- By: James Langton
- August 27, 2008 August 27, 2008
- 15:15
Former Nymex employee barred from futures industry
Clerk disclosed non-public information to Nymex floor brokers
- By: James Langton
- August 27, 2008 August 27, 2008
- 07:30
SIFMA welcomes recognition deal between U.S., Australian regulators
The U.S. Securities Industry and Financial Markets Association applauded the mutual recognition agreement announced today between the Securities and Exchange Commission, the Australian Treasury and…
- By: James Langton
- August 25, 2008 August 25, 2008
- 16:10
SEC, Australian regulators sign mutual recognition agreement
The U.S. Securities and Exchange Commission and the Australian Securities and Investments Commission have signed a mutual recognition agreement that will allow them to consider…
- By: James Langton
- August 25, 2008 August 25, 2008
- 13:50
New members appointed to NBSC
Williamson and Lee succeed Flemming and Hashey
- By: James Langton
- August 24, 2008 August 24, 2008
- 16:20
Court denies motion by ASC to toss out class action suit
Regulator didn’t produce enough evidence to show that there is no genuine issue for trial, court rules
- By: James Langton
- August 21, 2008 August 21, 2008
- 15:18
Securities regulation panel releases results of public consultations
Expert panel receives more than 70 formal submissions
- By: IE Staff
- August 21, 2008 August 21, 2008
- 14:50
MFDA suspends membership of Farm Mutual
A hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada has suspended the membership rights and privileges of Farm…
- By: IE Staff
- August 21, 2008 August 21, 2008
- 13:30
Sterling Mutuals fined $50,000 by MFDA panel
Firm ordered to retain independent monitor to resolve compliance deficiencies
- By: IE Staff
- August 21, 2008 August 21, 2008
- 12:55
BCSC makes reciprocal orders based on ASC and NBSC decisions
British Columbia Securities Commission panels have made reciprocal orders in six decisions against eight individuals who were sanctioned by the Alberta Securities Commission and the…
- By: IE Staff
- August 20, 2008 August 20, 2008
- 08:50
Lawyer to appeal ABCP ruling to Supreme Court
Ontario court upholds restructuring plan
- By: IE Staff
- August 20, 2008 August 20, 2008
- 07:35
CFTC alleges Ontario man defrauded commodity pool investors of millions
Regulator orders Eustace to pay more than US$279 million in restitution
- By: James Langton
- August 19, 2008 August 19, 2008
- 13:25
SEC unveils plans for new disclosure platform
IDEA will replace EDGAR system
- By: IE Staff
- August 19, 2008 August 19, 2008
- 12:35
Regulators moving ahead with disclosure certification rule
The Canadian Securities Administrators is moving to adopt its proposed new disclosure certification rule.The CSA has published the final version of National Instrument 52-109 Certification…
- By: James Langton
- August 15, 2008 August 15, 2008
- 12:30