FSA market manipulation investigation finds no wrongdoing
Share price of British bank was not only affected by rumours, but by the interaction of other complex factors
- By: James Langton
- August 1, 2008 August 1, 2008
- 11:00
Latest news in From the Regulators
IIROC imposes $2 million fine on TD Waterhouse
Brokerage failed to ensure clients were accredited investors
- By: Kate Betts-Wilmott
- July 31, 2008 July 31, 2008
- 15:10
Joint Forum issues final version of credit risk transfer paper
The Joint Forum released the final version of its paper examining the development of the credit risk transfer phenomenon over the past couple of years.…
- By: James Langton
- July 31, 2008 July 31, 2008
- 11:15
ECB to renew two supplementary 3-mth longer-term refinancings
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…
- By: James Langton
- July 31, 2008 July 31, 2008
- 10:50
OSFI releases guide to intervention for life insurance companies
Objective is to promote awareness and enhance transparency of the intervention framework for federally regulated life insurance companies
- By: James Langton
- July 31, 2008 July 31, 2008
- 09:35
SEC charges fund manager for violating SRI restrictions
Pax World Management order to pay US$500,000 penalty
- By: James Langton
- July 30, 2008 July 30, 2008
- 12:35
CFTC charges Canadian couple with fraud in connection with commodity pool
Alleged Ponzi scheme fleeced 900 U.S. investors
- By: James Langton
- July 30, 2008 July 30, 2008
- 10:50
Fed extends emergency lending to investment banks
Plans to increase the size of a swap line with the European Central Bank
- By: James Langton
- July 30, 2008 July 30, 2008
- 08:45
SEC extends short-selling rules
Temporary order continues prohibition covering 19 financial stocks until Aug. 12
- By: IE Staff
- July 30, 2008 July 30, 2008
- 07:55
ASC bans B.C. man for illegal trading
Rivers illegally distributed NOF Electrical Generation Securities worth $4.5 million
- By: IE Staff
- July 29, 2008 July 29, 2008
- 12:55
Arrests made in UK insider trading investigation
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…
- By: James Langton
- July 29, 2008 July 29, 2008
- 08:50
Paulson unveils new source of mortgage financing
Four U.S. banks to promote the development of covered bond market
- By: James Langton
- July 28, 2008 July 28, 2008
- 15:50
ASC reaches $250,000 settlement with Keystone
Reps not registered to provide financial advice
- By: IE Staff
- July 27, 2008 July 27, 2008
- 10:50
Former Calgary rep fined for failing to cooperate with SRO investigation
Buskell dealt permanent ban
- By: IE Staff
- July 24, 2008 July 24, 2008
- 13:15
Quebec rep guilty of engaging in outside business activities: IDA
Date for penalty hearing pending
- By: IE Staff
- July 22, 2008 July 22, 2008
- 14:20
OSC to appeal Taub decision
Regulator concerned that investor protection could be weakend
- By: IE Staff
- July 22, 2008 July 22, 2008
- 12:30
SIPC warns investors of ID theft scheme
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…
- By: IE Staff
- July 21, 2008 July 21, 2008
- 12:30
Canadian regulators seek comment on extension of passport system to registration
New phase of passport model will simplify regulatory processes, St-Gelais says
- By: James Langton
- July 20, 2008 July 20, 2008
- 15:30
OSC approves MFDA’s oversight agreement with Quebec regulators
MFDA contingency fund can not provide coverage in Quebec
- By: James Langton
- July 20, 2008 July 20, 2008
- 14:40
IIROC amends rules to comply with best execution obligations
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…
- By: James Langton
- July 20, 2008 July 20, 2008
- 10:20
IIROC to appeal Taub decision
Ruling restricts regulators’s authority to members only
- By: IE Staff
- July 17, 2008 July 17, 2008
- 07:20
IIROC imposes $25,000 fine on TD Waterhouse
Discount brokerage failed to review trading of speculative OTC securities
- By: IE Staff
- July 16, 2008 July 16, 2008
- 15:50
Global Securities, employee pay $21,050 for selling cease-traded security
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.…
- By: IE Staff
- July 16, 2008 July 16, 2008
- 09:40
AMF favours status quo on securities regulation
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…
- By: James Langton
- July 16, 2008 July 16, 2008
- 07:30