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
Latest news in From the Regulators
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
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
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