TD exempted from suitability requirements for Treasury Management Funds
OSC granted TDAM relief with several conditions
- By: James Langton
- May 4, 2008 December 14, 2017
- 14:40
Latest news in From the Regulators
Court dismisses AMF charges
Judge concluded there was reasonable doubt in Bruni case
- By: James Langton
- May 4, 2008 December 14, 2017
- 13:50
IDA issues reminder on CE program
Reps in current cycle must satisfy CE requirements by Dec. 31
- By: James Langton
- May 2, 2008 December 14, 2017
- 10:10
CFTC seeks comment on possible regulation of “event contracts”
The U.S. Commodity Futures Trading Commission is seeking public comment on the appropriate regulatory treatment of financial agreements offered by so-called prediction markets.The CFTC says…
- By: James Langton
- May 1, 2008 December 14, 2017
- 14:45
STA calls for U.S. market reform
Report suggests an SEC review of market data fees
- By: James Langton
- April 30, 2008 December 14, 2017
- 16:00
SEC staff completes review of cross-border tender, exchange offer and business combination rules
The U.S. Securities and Exchange Commission’s Division of Corporation Finance announced that it has completed its review of its cross-border tender, exchange offer and business…
- By: James Langton
- April 29, 2008 December 14, 2017
- 15:20
Credit market turmoil less pronounced in Canada: Flaherty
Finance minister meets with bankers
- By: IE Staff
- April 28, 2008 December 14, 2017
- 11:10
Banks and insurers won’t be allowed to adopt IFRS early, OSFI says
The Office of the Superintendent of Financial Institutions (OSFI) has issued a notice concerning the adoption of International Financial Reporting Standards (IFRS) by federally regulated…
- By: James Langton
- April 28, 2008 December 14, 2017
- 10:15
Regulators OK fund mergers despite differences in investment objectives
Decision based on “exceptional circumstances”
- By: James Langton
- April 27, 2008 December 14, 2017
- 15:10
Ontario seeks comment on proposed registration reform amendments
The government of Ontario has published for comment the draft amendments that are required to implement registration reform.On February 29, the Canadian Securities Administrators published…
- By: IE Staff
- April 27, 2008 December 14, 2017
- 14:55
Joint Forum releases paper on “risk concentrations”
Paper highlights critical issues in firms’ ability to identify risk concentrations
- By: James Langton
- April 25, 2008 December 14, 2017
- 10:45
IDA extends comment period for CRM proposal
The Investment Dealers Association of Canada is extending the comment period for its so-called Client Relationship Model (CRM) to the end of May.The CRM, which…
- By: James Langton
- April 25, 2008 December 14, 2017
- 09:40
SEC charges Wall Street short-seller with spreading false rumors
Rumor sparked heavy trading in Alliance Data Systems
- By: James Langton
- April 25, 2008 December 14, 2017
- 07:30
FINRA proposes change to rule regarding the reporting of sales practice violations
Allegations against “unnamed” brokers going unreported
- By: James Langton
- April 24, 2008 December 14, 2017
- 15:30
FINRA issues investor warning on catastrophe bonds
Complex products can lose their value if a triggering event occurs
- By: James Langton
- April 24, 2008 December 14, 2017
- 14:55
UK firms warned to do more to protect clients’ personal data
The UK’s Financial Services Authority is warning firms that they must do more to help prevent their customers falling victim to identity fraud and other…
- By: James Langton
- April 24, 2008 December 14, 2017
- 09:50
ASC issues interim cease trade order for Alberta businessman
Locate, Tubtron distributed securities without fully complying with Alberta securities laws
- By: IE Staff
- April 22, 2008 December 14, 2017
- 12:45
OSFI clarifies role in ABCP market
Regulator does not oversee firms that created non-bank ABCP: Dickson
- By: James Langton
- April 22, 2008 December 14, 2017
- 09:20
Expert panel on securities regulation launches public consultations
Deadline for submissions is July 15
- By: IE Staff
- April 21, 2008 December 14, 2017
- 11:25
NBSC approves settlement in Wealth Pools investment scheme
Three residents fined and banned from trading
- By: Regan Ray
- April 18, 2008 December 14, 2017
- 13:47
CSA amendments ease proxy solicitations by dissident shareholders
The Canadian Securities Administrators has made a series of rule amendments that make it easier for dissident shareholders to solicit proxies.Amendments have been made to…
- By: IE Staff
- April 18, 2008 December 14, 2017
- 13:30
CSA enhances internal control reporting requirements
New rule expected to take effect on Dec. 15
- By: IE Staff
- April 18, 2008 December 14, 2017
- 10:35
State securities regulators coordinate ongoing auction-rate securities investigations
The North American Securities Administrators Association said that several of its members have been conducting investigations involving auction-rate securities and are coordinating their efforts to…
- By: James Langton
- April 18, 2008 December 14, 2017
- 09:20
ASC issues market bans against Calgary resident
The Alberta Securities Commission (ASC) has prohibited Calgary resident Brian Paul Kuhn from relying on any exemption contained in Alberta Securities laws until Sept. 30,…
- By: IE Staff
- April 17, 2008 December 14, 2017
- 14:45
OSC chairman pushes for common securities regulator
Commission urges examination of new investigative powers for police
- By: Regan Ray
- April 16, 2008 April 16, 2008
- 14:15