Cox succeeds Prada at IOSCO
Canadian regulators active on task forces
- By: James Langton
- May 29, 2008 May 29, 2008
- 14:40
Latest news in From the Regulators
BCSC bans former MDMI CEO from capital markets for five years
Elliot sold securities without being registered or filing a prospectus
- By: IE Staff
- May 29, 2008 May 29, 2008
- 12:15
IOSCO releases report on subprime crisis
Report makes recommendations on issuer transparency and investor due diligence, risk management, and valuation and accounting issues
- By: James Langton
- May 29, 2008 May 29, 2008
- 08:15
Adoption of IFRS would give world a common language for financial reports, SEC chief says
ISOCO panel discusses challenges inherent in setting accounting standards
- By: James Langton
- May 28, 2008 May 28, 2008
- 14:10
Credit crunch fallout dominates IOSCO meeting
Crisis sparks variety of regulatory reform proposals
- By: James Langton
- May 28, 2008 May 28, 2008
- 12:40
BCSC shuts down Burnaby phone room
Issues temporary cease trade order against Adcapital companies
- By: IE Staff
- May 28, 2008 May 28, 2008
- 09:10
BCSC cease trades offshore bank
Liechtenstein bank used as conduit for suspicious trading, regulator alleges
- By: IE Staff
- May 27, 2008 May 27, 2008
- 12:40
MFDA seeks wider pool of applicants for public directors
The Mutual Fund Dealers Association of Canada (MFDA) is seeking changes to its recognition orders, and amendments to expand the population of possible public directors.According…
- By: IE Staff
- May 25, 2008 May 25, 2008
- 15:10
SEC signs protocols for sharing information on international accounting standards
The U.S. Securities and Exchange Commission announced that it has signed protocols enabling it to share information with financial regulators in four European countries on…
- By: James Langton
- May 23, 2008 May 23, 2008
- 15:30
Quebec legislation to bolster investor protection
Bill 64 enables AMF to act more quickly, grants new investigation powers
- By: James Langton
- May 23, 2008 May 23, 2008
- 11:10
SEC votes to propose use of interactive data for mutual fund investors
Data would improve comparison shopping, says commission
- By: James Langton
- May 21, 2008 May 21, 2008
- 16:06
PIOB nominating committee welcomes European Commission to its membership
The group of regulators that nominate the Public Interest Oversight Board, which oversees efforts to develop international standards for the accounting profession, today announced that…
- By: IE Staff
- May 20, 2008 May 20, 2008
- 09:15
Regulators approve RS rules respecting “off-marketplace” trades
RS drops request for exemption from “best-price” obligations submitted in Dec. 2007
- By: James Langton
- May 19, 2008 May 19, 2008
- 14:15
ASC issues trading ban against CMKM Diamonds
The Alberta Securities Commission (ASC) has banned trading in or purchasing of securities of CMKM Diamonds, Inc. and denied the company the use of any…
- By: IE Staff
- May 16, 2008 May 16, 2008
- 11:40
OSC extends registration exemption for Natural Gas Exchange
Permanent exemption pending oversight by ASC
- By: James Langton
- May 16, 2008 May 16, 2008
- 09:25
FINRA warns investors of fraudsters misusing regulator’s name
U.S. regulators are warning international investors that advance-fee fraudsters are impersonating regulators as part of their scams.The Financial Industry Regulatory Authority issued an updated investor…
- By: IE Staff
- May 15, 2008 May 15, 2008
- 14:55
FINRA fines three firms a total of US$1.6 million
CIBC World Markets, TradeStation., and E*Trade Securities fined for order audit trail violations
- By: James Langton
- May 15, 2008 May 15, 2008
- 14:45
Slow and steady might be the only route to a national securities regulator, says IIAC head
Russell tells Toronto audience the CSA is the place to start
- By: Regan Ray
- May 15, 2008 May 15, 2008
- 14:15
FINRA seeking feedback on single rulebook proposals
Comments due June 13
- By: James Langton
- May 15, 2008 May 15, 2008
- 09:55
SEC to propose interactive data filing requirements
Rule would be phased in over three years
- By: James Langton
- May 14, 2008 May 14, 2008
- 16:02
No evidence of manipulation in silver futures market: report
CFTC looks into investor allegations
- By: James Langton
- May 14, 2008 May 14, 2008
- 15:55
OSC alleges ASL Direct distributed funds without a prospectus
Commission releases full statement of allegations
- By: Regan Ray
- May 14, 2008 May 14, 2008
- 14:12
U.S., European Union take steps toward financial markets integration
A joint U.S.-EU committee, known as the Transatlantic Economic Council, calls for greater integration between the two economic powerhouses, including their respective securities markets.The TEC,…
- By: James Langton
- May 14, 2008 May 14, 2008
- 10:45