BCSC releases registration requirements for dealers trading in U.S. OTC markets
Conditions take effect June 12
- By: IE Staff
- May 13, 2008 May 13, 2008
- 14:10
Latest news in From the Regulators
Central bankers call for more action to reduce foreign exchange settlement risk
In a report published today by the Committee on Payment and Settlement Systems, central bankers highlight the need for further action to reduce foreign exchange…
- By: James Langton
- May 13, 2008 May 13, 2008
- 13:45
MFDA cautions reps about leverage disclosure
New notice addresses misleading statements
- By: James Langton
- May 12, 2008 December 14, 2017
- 12:25
Regulators approve RS allocation model
Model imposes charges to recover operational and capital costs caused by introduction of multiple marketplacesCanadian securities regulators have approved the allocation model developed by Market…
- By: IE Staff
- May 11, 2008 December 14, 2017
- 14:35
CSA offers guidance on changeover to IFRS
Notice focuses on issuer disclosure
- By: James Langton
- May 11, 2008 December 14, 2017
- 13:55
Regulator suggests caution when investing income tax refunds
The Alberta Securities Commission (ASC) is urging Albertans to “Check First” before they make a decision about where to invest their income tax refunds.During the…
- By: IE Staff
- May 9, 2008 December 14, 2017
- 12:10
Women better at avoiding investment fraud: study
Men are more likely to have been defrauded more than once
- By: IE Staff
- May 8, 2008 December 14, 2017
- 15:15
SEC stops multi-million dollar fictitious currency trading program
Regulator alleges Gold-Quest International ran US$27 million Ponzi scheme
- By: James Langton
- May 8, 2008 December 14, 2017
- 07:30
NBSC joins Council of Securities Regulators of the Americas
The New Brunswick Securities Commission announced that it has been granted membership in the Council of Securities Regulators of the Americas.
- By: IE Staff
- May 7, 2008 December 14, 2017
- 14:50
NYSE fines dealers for failing to provide required data
Several Wall Street firms were sanctioned by NYSE Regulation Inc. for certain violations related to their front-end systemic capture systems.All of the firms (Bear Stearns…
- By: IE Staff
- May 7, 2008 December 14, 2017
- 13:35
Credit crisis underlines importance of reputation risk for banks: Dickson
Off-balance sheet vehicles can no longer be ingnored by regulators
- By: James Langton
- May 7, 2008 December 14, 2017
- 13:15
Paredes to replace Atkins at SEC
Atkins announces intention to leave regulator
- By: IE Staff
- May 7, 2008 December 14, 2017
- 10:25
OECD and IOPS set out blueprint for licensing regime in pension industry
Guidelines set out minimum requirements that pensions should meet when applying for a licence to begin operating
- By: James Langton
- May 6, 2008 December 14, 2017
- 07:20
Atkins to leave SEC
U.S. Securities and Exchange Commissioner Paul Atkins announced that he intends to leave the SEC following the end of his term.Appointed in August 2002 for…
- By: James Langton
- May 5, 2008 December 14, 2017
- 15:35
OSC issues temporary cease trade order against ASL Direct
Commission is investigating possible distribution of securities without a prospectus
- By: IE Staff
- May 4, 2008 December 14, 2017
- 15:10
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
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