SEC moves to curb short-selling
Emergency order prevents “naked: short selling in the securities of Fannie Mae and Freddie Mac
- By: James Langton
- July 16, 2008 July 16, 2008
- 07:25
Latest news in From the Regulators
Ottawa issues draft of tax measures remaining from Budget 2008
Proposals include minor adjustments to TFSA rules
- By: IE Staff
- July 15, 2008 July 15, 2008
- 11:15
Federal Reserve toughens subprime mortgage rules
Advertising rules now require additional information about rates, monthly payments and other loan features
- By: IE Staff
- July 14, 2008 July 14, 2008
- 14:15
U.S. regulators to investigate market manipulation caused by spreading rumours
Prevention effort augments SEC’s ongoing enforcement investigations
- By: James Langton
- July 14, 2008 July 14, 2008
- 07:45
U.S. Treasury, Federal Reserve move to preserve mortgage giants
Paulson announces plan to save Fannie, Freddie from bailout
- By: James Langton
- July 14, 2008 July 14, 2008
- 07:35
CSA sets December deadline for changes to certification of disclosure rule
The Canadian Securities Administrators announced that its plan to update the rule requiring executives to certify their filings will take effect later this year.Among other…
- By: James Langton
- July 11, 2008 July 11, 2008
- 09:10
ASC sanctions four men connected with Amber Enterprises
DeVries, Grafke, Bromley and Campbell caused investor losses of $1.3 million: BCSC
- By: IE Staff
- July 10, 2008 July 10, 2008
- 13:10
Bernanke, Paulson push for U.S. regulatory overhaul
Market turmoil has highlighted outdated nature of financial regulatory system, Treasury Secretary says
- By: James Langton
- July 10, 2008 July 10, 2008
- 10:50
Feds impose new limits on government-backed mortgages
Maximum amortization period now 35 years
- By: IE Staff
- July 9, 2008 July 9, 2008
- 15:50
AMF might appeal reduced sentence for Norbourg founder
Sentence against Lacroix trimmed to 8 1/2 years
- By: James Langton
- July 9, 2008 July 9, 2008
- 14:45
Enforcement director Mocek exits CFTC
Mocek, director of the Division of Enforcement since March 2002, is leaving the commission to return to private practice as a partner in the Energy…
- By: James Langton
- July 9, 2008 July 9, 2008
- 10:50
Quebec regulator seeks cash from people in Norbourg case
AMF looking to recover $32 million
- By: James Langton
- July 8, 2008 July 8, 2008
- 15:10
Bernanke sees bigger role for Fed
U.S. markets need to made more resilient and stable
- By: James Langton
- July 8, 2008 July 8, 2008
- 09:50
Fed, SEC agree to deepen co-operation and information sharing
The U.S. Securities and Exchange Commission and the U.S. Federal Reserve Board announced that they have signed a memorandum of understanding (MOU) designed to improve…
- By: James Langton
- July 7, 2008 July 7, 2008
- 11:20
UK unveils financial education program
Authorities in the United Kingdom are launching new programs to promote personal financial education and to provide financial advice for poor families.The UK Treasury and…
- By: James Langton
- July 7, 2008 July 7, 2008
- 11:10
SEC moves to streamline processes
Tighter deadlines for proposed rule changes
- By: James Langton
- July 3, 2008 July 3, 2008
- 15:13
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