SEC moves to streamline processes
Tighter deadlines for proposed rule changes
- By: James Langton
- July 3, 2008 July 3, 2008
- 15:13
Latest news in From the Regulators
Fund managers get more time to find investors
affected by market-timing settlements
$190.7 million in settlement monies distributed so far, OSC says
- By: IE Staff
- July 2, 2008 July 2, 2008
- 14:15
UK regulator demands greater disclosure on CFDs
The UK’s Financial Services Authority has decided to demand greater disclosure about positions held through so-called contracts for difference (CFDs).The FSA announced today that after…
- By: James Langton
- July 2, 2008 July 2, 2008
- 09:50
SEC moves to protect investors from abusive practices in sale of equity indexed annuities
The U.S. Securities and Exchange Commission is seeking to define certain equity-linked financial products as securities in order to protect investors.The SEC has published for…
- By: James Langton
- July 2, 2008 July 2, 2008
- 07:30
OSC issues revised list of priorities
Final version includes new vision statement
- By: IE Staff
- June 29, 2008 June 29, 2008
- 14:35
MFDA proposes change to dual occupations rule
Amendment removes references to “another person” and “widely recognized professional association”
- By: James Langton
- June 29, 2008 June 29, 2008
- 13:55
Former B.C. dealer charged with $10 million fraud
A former B.C. mutual fund dealer is facing fraud charges in a scheme that police say cost investors $10 million.The Vancouver Integrated Market Enforcement Team…
- By: IE Staff
- June 29, 2008 June 29, 2008
- 11:10
SEC proposes amendments to improve regulation of foreign broker activities in U.S.
The U.S. Securities and Exchange Commission is providing more detail into plans to allow foreign brokers easier access to U.S. markets.The SEC today published a…
- By: James Langton
- June 27, 2008 June 27, 2008
- 14:55
Saskatchewan issues warning about bogus investment scheme
“Crown Revenue Distributions” being promoted through an Internet newsletter
- By: James Langton
- June 27, 2008 June 27, 2008
- 10:50
CSA to allow early adoption of International Financial Reporting Standards
Regulators prepared to recommend exemptive relief on a case by case basis
- By: James Langton
- June 27, 2008 June 27, 2008
- 10:10
Regulators need to examine their actions to see if they contribute to financial instability: OSFI head
Capital rules may amplify distortions
- By: James Langton
- June 26, 2008 June 26, 2008
- 16:20
SEC proposes revision to oil and gas reporting requirements
The U.S. Securities and Exchange Commission announced that it has proposed revised oil and gas company reporting requirements that are designed to help provide investors…
- By: James Langton
- June 26, 2008 June 26, 2008
- 15:30
Drop ban on bank mergers, panel says
Competition Policy Review Panel report calls for increase in foreign investment
- By: James Langton
- June 26, 2008 June 26, 2008
- 10:25
Bank of Canada to accept U.S. Treasuries as collateral
The Bank of Canada today announced that it will begin accepting U.S. Treasury securities as collateral under its Standing Liquidity Facility.As the Bank indicated last…
- By: James Langton
- June 25, 2008 June 25, 2008
- 15:10
SEC announces initiative to rethink disclosure
The U.S. Securities and Exchange Commission announced an initiative to design the disclosure system of the future.The SEC pledged to examine fundamental questions about the…
- By: James Langton
- June 24, 2008 June 24, 2008
- 15:25
Term PRA maturing on June 26 will not be renewed, Bank of Canada says
In a sign that credit market conditions have improved, the Bank of Canada says that the term purchase and resale agreement (PRA) that matures on…
- By: James Langton
- June 23, 2008 June 23, 2008
- 15:10
Quebec passes new derivatives legislation
Act will allow MX to be more efficient, minister says
- By: James Langton
- June 22, 2008 June 22, 2008
- 15:40
MFDA panel approves settlement with Portfolio Strategies
Regulator issues reprimand; imposes $5,000 fine
- By: IE Staff
- June 22, 2008 June 22, 2008
- 15:10
CSA amends rules on best execution obligation of dealers and advisors
Changes come into force Sept. 12
- By: IE Staff
- June 20, 2008 June 20, 2008
- 13:30
CSA on track with changes to disclosure requirements for investment funds
Amendments will come into force Sept. 8
- By: James Langton
- June 20, 2008 June 20, 2008
- 08:50
U.S. Treasury head pushes oversight changes
Serious work needed to transform current regulatory structure, Paulson says
- By: James Langton
- June 19, 2008 June 19, 2008
- 16:10
RCMP charge former Nortel officers
Ex-CEO Dunn charged with fraud
- By: IE Staff
- June 19, 2008 June 19, 2008
- 15:30
SEC charges two ex-Bear Stearns hedge fund managers with fraud
U.S. regulators and law enforcement brought charges against two former portfolio managers from Bear Stearns Asset Management over the collapse of their hedge funds last…
- By: James Langton
- June 19, 2008 June 19, 2008
- 15:20
Capital charges for securitization activities need to accurately reflect risks: OSFI
Rule changes reflect observations made during ABCP disruption
- By: James Langton
- June 19, 2008 June 19, 2008
- 10:10