The European Central Bank announced today that it is extending efforts to ensure money market liquidity.The Governing Council of the ECB decided to renew the…
Objective is to promote awareness and enhance transparency of the intervention framework for federally regulated life insurance companies
Pax World Management order to pay US$500,000 penalty
Alleged Ponzi scheme fleeced 900 U.S. investors
Plans to increase the size of a swap line with the European Central Bank
Temporary order continues prohibition covering 19 financial stocks until Aug. 12
Rivers illegally distributed NOF Electrical Generation Securities worth $4.5 million
The UK’s Financial Services Authority has made several arrests made in a major insider dealing investigation.The FSA reports that it arrested eight individuals and executed…
Four U.S. banks to promote the development of covered bond market
Reps not registered to provide financial advice
Buskell dealt permanent ban
Date for penalty hearing pending
Regulator concerned that investor protection could be weakend
The U.S. Securities Investor Protection Corp. (SIPC) today cautioned investors about a new identity theft scam designed to extract confidential information and cash from unwary…
New phase of passport model will simplify regulatory processes, St-Gelais says
MFDA contingency fund can not provide coverage in Quebec
The Investment Industry Regulatory Organization of Canada (IIROC) has published amendments to its trading rules to conform with changes to best execution obligations that are…
Ruling restricts regulators’s authority to members only
Discount brokerage failed to review trading of speculative OTC securities
The British Columbia Securities Commission has settled with a Vancouver-based investment dealer and one of its registered sales people who admitted to trading a U.S.…
In its submission to the Expert Panel on Securities Regulation, the Autorité des marchés financiers argues for maintaining the status quo rather than moving to…
Emergency order prevents “naked: short selling in the securities of Fannie Mae and Freddie Mac
Proposals include minor adjustments to TFSA rules
Advertising rules now require additional information about rates, monthly payments and other loan features