Japan joins IOSCO information-sharing mechanism
FSA granted approval for signing IOSCO Multilateral MOU
- By: James Langton
- February 12, 2008 February 12, 2008
- 11:10
Latest news in From the Regulators
MFDA outlines regional council election process
Nominations close March 14
- By: James Langton
- February 11, 2008 February 11, 2008
- 16:50
CCIR undertakes survey on practices for managing conflicts of interest
The Canadian Council of Insurance Regulators is seeking information from insurers on their practices for managing conflicts of interest.The CCIR has launched a survey to…
- February 11, 2008 February 11, 2008
- 16:45
Alberta businessman faces 5-year market ban
ASC finds Lavallee participated in illegal distribution
- By: Regan Ray
- February 11, 2008 February 11, 2008
- 13:23
FSF sets out policy directions for strengthening the resilience of the financial system
Interim report to G7 finance ministers and central bank governors released
- By: James Langton
- February 11, 2008 February 11, 2008
- 10:50
U.S. regulators launch effort to protect older investors
SEC, NASAA and FINRA aim to shield seniors from investment fraud
- By: James Langton
- February 10, 2008 February 10, 2008
- 15:35
Proposed merger of IDA and RS out for comment
Comments on application and proposed oversight program due March 10
- By: James Langton
- February 10, 2008 February 10, 2008
- 15:12
OSC seeking comment on TSX-Bourse merger
TSX says changes to recognition order not necessary
- By: James Langton
- February 8, 2008 February 8, 2008
- 15:20
Mortgage 1 Corp. faces ASC hearing
Commission alleges firm raised nearly $1 million from Alberta investors
- By: IE Staff
- February 8, 2008 February 8, 2008
- 13:41
Former pastor accused of trading securities without a license
Di Stefano faces 46 AMF charges
- By: James Langton
- February 7, 2008 February 7, 2008
- 16:56
Golden Capital CFO faces IDA hearing
Lotz accused failing to disclose information to his firm
- By: Regan Ray
- February 7, 2008 February 7, 2008
- 12:38
NASAA calls for increased fairness of securities arbitration system
SICA study surveyed customers on arbitration panel experiences
- By: James Langton
- February 6, 2008 February 6, 2008
- 17:04
U.S. hedge fund adviser charged $40 million for late trading scheme: SEC
Ritchie Multi-Strategy Global Trading Ltd. and two executives were charged
- By: James Langton
- February 6, 2008 February 6, 2008
- 07:41
SEC creates collections and distributions office
New office will expedite the return of funds to injured investors
- By: James Langton
- February 5, 2008 February 5, 2008
- 16:08
SEC completes settlement with former Dow board member
Li, Leung and Wong fined for insider trading related to $15 million in Dow Jones securities
- By: James Langton
- February 5, 2008 February 5, 2008
- 16:01
Fed Board approves Royal Bank’s acquisition of Alabama National
RBC Centura will be 47th largest bank in the U.S.
- By: James Langton
- February 5, 2008 February 5, 2008
- 15:48
Don’t panic in volatile markets: NSSC
Commission warns that hasty decisions can make matters worse
- By: James Langton
- February 5, 2008 February 5, 2008
- 10:53
BCSC fines CEO for fraud
Savage fined $100,000 and shut out of markets for ten years
- By: Regan Ray
- February 5, 2008 February 5, 2008
- 10:41
CSA invites youth to enter Financial Fitness Challenge contest
Quiz participants get chance to win a $750 scholarship
- By: IE Staff
- February 4, 2008 February 4, 2008
- 13:30
MX files application with AMF regarding proposed merger with TSX Group
Montreal Exchange Inc. (MX) announced Friday that it has filed an application to the Autorité des marchés financiers (AMF) for an amendment of its recognition…
- By: James Langton
- February 4, 2008 February 4, 2008
- 10:25
RBC Asset Management granted inter-fund trading exemption
Applicants for similar relief should structure application as direct exemption, regulators say
- By: IE Staff
- February 3, 2008 February 3, 2008
- 14:40
OBSI not a regulator, Agnew says
Ombudsman for Banking Services and Investments defends proposed mandate changes
- By: Regan Ray
- February 3, 2008 February 3, 2008
- 12:35
SEC proposes to delay requirements under Section 404 of SOX
Small companies would pay starting at the end of 2009
- By: James Langton
- February 1, 2008 February 1, 2008
- 14:48
EU and SEC working toward mutual recognition for securities
Heads say first step is to create a framework for discussions
- By: James Langton
- February 1, 2008 February 1, 2008
- 14:39
Canadian regulators harmonize take-over bid and issuer bid rules
The Canadian Securities Administrators today announced the implementation of harmonized national take-over bid and issuer bid requirements.The step is intended to provide greater certainty and…
- By: James Langton
- February 1, 2008 February 1, 2008
- 09:20