IDA reviewing complaints related to ABCP sales
No determination yet on whether disciplinary action is warranted
- By: IE Staff
- April 15, 2008 April 15, 2008
- 16:50
Latest news in From the Regulators
SEC launches service to alert investors about phony investment offers
The U.S. Securities and Exchange Commission announced the launch of its latest offensive targeting online boiler rooms, cold calls, and other potentially fraudulent financial solicitations.The…
- By: James Langton
- April 15, 2008 April 15, 2008
- 16:40
CSA reveals winners of financial literacy challenge
42% jump in number of youth registered to win scholarships
- By: IE Staff
- April 15, 2008 April 15, 2008
- 10:50
MFDA provides guidance on suitability obligations
Further rules proposals on the way, regulator says
- By: James Langton
- April 15, 2008 April 15, 2008
- 09:40
Senior Supervisors Group releases report on disclosure practices
Report provides examples of current leading practices in reporting exposures to ABCP
- By: James Langton
- April 11, 2008 April 11, 2008
- 10:10
AMF approves TSX-MX merger
Firms still awaiting a nod from the OSC
- By: Regan Ray
- April 10, 2008 April 10, 2008
- 16:50
Bernanke backs planned U.S. regulatory reforms
Recommendations could ease credit crisis
- By: James Langton
- April 10, 2008 April 10, 2008
- 15:30
Union Securities liable in case involving cease trade order, court rules
An Alberta court has found investment dealer Union Securities Ltd. liable in a case where a client invested in a company that was subject to…
- By: James Langton
- April 10, 2008 April 10, 2008
- 15:20
Quebec tables derivatives legislation
Proposed framework is designed to be closely harmonized with U.S. legislation
- By: James Langton
- April 9, 2008 April 9, 2008
- 15:30
FINRA issues guidance on preventing “rogue trading”
In the wake of recent episodes of so-called “rogue trading”, the Financial Industry Regulatory Authority issued guidance to firms outlining best practices for detecting and…
- By: James Langton
- April 9, 2008 April 9, 2008
- 15:25
NYSE firms fined for supervisory violations
NYSE Regulation today announced disciplinary actions against a trio of high-profile Wall Street firms for a variety of rule violations.The exchange sanctioned Merrill Lynch, Pierce,…
- By: IE Staff
- April 9, 2008 April 9, 2008
- 12:15
BCSC bans three people who illegally distributed securities in Alberta
A British Columbia Securities Commission panel has banned three individuals from the province’s capital markets who violated securities laws when they illegally distributed the shares…
- By: IE Staff
- April 9, 2008 April 9, 2008
- 11:10
New York commodities traders plead guilty on charges: CFTC
Former NYMEX director gets five months in jail and five years probation
- By: James Langton
- April 8, 2008 April 8, 2008
- 14:46
SEC makes interactive comparions of mutual funds available to investors
Fund Reader tool available online
- By: James Langton
- April 7, 2008 April 7, 2008
- 15:35
CESR suggests European regulators might accept GAAP
Canada on target to transfer to IFRS by 2011
- By: James Langton
- April 7, 2008 April 7, 2008
- 11:25
FSCO releases draft of priorities for 2008
Ontario regulator looking for comments
- By: James Langton
- April 7, 2008 April 7, 2008
- 10:45
OSC outlines priorities for fiscal 2009
Regulator to focus on ABCP market, mutual recognition framework
- By: James Langton
- April 6, 2008 April 6, 2008
- 11:55
CSA extends transition period for institutional trade matching and settlement rule
Concern that the markets may not be ready to meet the new matching requirements
- By: James Langton
- April 4, 2008 April 4, 2008
- 14:35
Beefed up mortgage broker regs aim to increase consumer confidence
Advance application period now open for new licenses
- By: Regan Ray
- April 3, 2008 April 3, 2008
- 12:50
IDA fines Winnipeg rep $20,000
Westman made unsuitable recommendations to two clients
- By: IE Staff
- April 3, 2008 April 3, 2008
- 08:50
OSFI pledges to enhance risk identification procedures
More comparative reviews also planned
- By: James Langton
- April 2, 2008 April 2, 2008
- 15:44
IIAC joins coalition on cross-border financial regulation
Regulators likely to be "skittish" about enlightened rule changes, says IIAC
- By: Regan Ray
- April 2, 2008 April 2, 2008
- 13:40
OSC accuses hedge fund trader of influencing share price
Delage terminated from Polaris
- By: Regan Ray
- April 2, 2008 April 2, 2008
- 09:41
OFSI outlines new approach to setting capital requirements
The Office of the Superintendent of Financial Institutions has published a proposed new framework for setting capital requirements in the insurance industry.In a letter to…
- By: IE Staff
- April 1, 2008 April 1, 2008
- 15:20
NASAA rule probibits misleading use senior and retiree designations
The North American Securities Administrators Association announced that its membership has approved a new model rule prohibiting the misleading use of senior and retiree designations.The…
- By: James Langton
- April 1, 2008 April 1, 2008
- 15:20