AMF unveils solvency requirements for insurers
Document outlines new structure for principle-based solvency financial requirements
- By: James Langton
- January 31, 2008 January 31, 2008
- 16:45
Latest news in From the Regulators
Investors warned to be wary of social networking sites: BCSC
BCSC says some Web sites are ripe for investment fraud
- By: Regan Ray
- January 31, 2008 January 31, 2008
- 10:24
NASAA outlines legislative priorities
The North American Securities Administrators Association announced its legislative priorities for the year ahead.NASAA President and North Dakota Securities Commissioner Karen Tyler said its’ 11-point…
- By: James Langton
- January 30, 2008 January 30, 2008
- 16:50
Revisions to OBSI mandate would create regulatory overlap: IFIC
Association calls for improved policy coordination on resolution of consumer disputes
- By: James Langton
- January 30, 2008 January 30, 2008
- 15:25
ASC sanctions Edmonton businessmen for illegal trades
The Alberta Securities Commission (ASC) has ordered payment of administrative penalties and costs, along with market bans, against Edmonton-area residents Richard George Kearl, Ross Vincent…
- By: IE Staff
- January 30, 2008 January 30, 2008
- 14:55
Investor confidence hampered by market turmoil, UK regulator says
FSA publishes Financial Risk Outlook for 2008
- By: James Langton
- January 29, 2008 January 29, 2008
- 10:25
Norbourg founder gets 12-year sentence
Lacroix fined $255,000
- By: IE Staff
- January 29, 2008 January 29, 2008
- 08:55
NASAA issues warning on investment scams
Investors nearing retirement are particularly at risk of being targeted by investment schemes promising high returns
- By: James Langton
- January 28, 2008 January 28, 2008
- 16:40
Investment fraud on the rise in New Brunswick
NBSC launches public awareness campaign to educate New Brunswickers on how to avoid scams
- By: James Langton
- January 27, 2008 January 27, 2008
- 16:40
Securities passport system implemented
Regulators introduce streamlined review policies for passport jurisdictions and Ontario
- By: IE Staff
- January 25, 2008 January 25, 2008
- 11:10
Courts won’t throw out CPAB review
CGA-Canada claims Board is biased toward chartered accountants
- By: James Langton
- January 24, 2008 January 24, 2008
- 17:10
Late insider filings drop more than 60%, AMF reports
Monetary penalties prove successful
- By: James Langton
- January 23, 2008 January 23, 2008
- 10:40
ASC decision against KCP and Baker quashed
The Alberta Securities Commission today announced that the Court of Queen’s Bench of Alberta has quashed an Aug. 9, 2007, ASC decision that found KCP…
- By: IE Staff
- January 22, 2008 January 22, 2008
- 12:30
OSC sends account exec to jail for fraud
Castaneda to serve three concurrent sentences
- By: Regan Ray
- January 22, 2008 January 22, 2008
- 11:20
Ottawa proposes extending carry-forward period for unused investment tax credits earned by Canadian businesses
Change will facilitate smooth transition to new single corporate tax administration system in Ontario
- By: IE Staff
- January 21, 2008 January 21, 2008
- 13:33
Self-directed RRSP sponsor found guilty of tax evasion
Boulianne fined $37,500
- By: Regan Ray
- January 21, 2008 January 21, 2008
- 12:01
RS issues warning on algorithmic trading systems
Firms should have policies to prevent violations
- By: James Langton
- January 20, 2008 January 20, 2008
- 16:30
Issuers using offering memorandum must submit a draft: SFSC
Failure to meet disclosure requirements could lead to forced suspension of offering
- By: James Langton
- January 20, 2008 January 20, 2008
- 16:15
Court’s decision a step back for investor confidence: NASAA
Says Stoneridge case closes door on private remedies
- By: James Langton
- January 17, 2008 January 17, 2008
- 17:49
Ontario seeks comment on mortgage broker regulatory regime
The Ontario government is seeking input on new mortgage broker regulations.A new act updating the legislation governing this sector will be fully proclaimed on July…
- By: James Langton
- January 16, 2008 January 16, 2008
- 16:40
OSC urges consumers to “check before you invest”
Campaign cautions investors to avoid fraud
- January 16, 2008 January 16, 2008
- 14:45
CFTC mulls expanded registration exemption for foreign firms
The Commodity Futures Trading Commission is proposing to expand its registration exemption for foreign firms.The CFTC announced that it has proposed a rule that would…
- By: James Langton
- January 16, 2008 January 16, 2008
- 13:20
NBSC to hold hearing into alleged pyramid scheme
Wealth Pools International hearing scheduled for Mar. 26
- By: James Langton
- January 16, 2008 January 16, 2008
- 11:40
CSA reviews performance of IDA
Dealers association fulfills its mandate: report
- By: Regan Ray
- January 15, 2008 January 15, 2008
- 17:23
Survey aims to gauge success of Capital Accumulation Plan guidelines
Joint Forum to determine if changes are needed
- By: James Langton
- January 15, 2008 January 15, 2008
- 17:10