CIPF, IDA move to reduce overlap
Joint application seeks approval for realignment of regulatory responsibilities
- By: James Langton
- March 9, 2008 March 9, 2008
- 15:25
Latest news in From the Regulators
Ontario approves new national prospectus disclosure regime
Rule changes take effect March 17
- By: James Langton
- March 7, 2008 March 7, 2008
- 16:30
SEC proposes naked short selling anti-fraud rule
Rule highlights the specific liability of parties who deceive others
- By: James Langton
- March 7, 2008 March 7, 2008
- 15:30
IDA fines Standard Securities $162,500 for compliance violations
Marcello fined and suspended for three months
- By: IE Staff
- March 7, 2008 March 7, 2008
- 12:20
CSA outlines exemption application process for issuers
Simplified procedure available in several provinces
- By: James Langton
- March 7, 2008 March 7, 2008
- 10:45
IDA suspends Vancouver rep
Stefaniuk ordered to stop dealing with public following expedited hearing
- By: IE Staff
- March 7, 2008 March 7, 2008
- 09:55
ASC sanctions Edmonton man for illegal securities sales
Lawler and Daystar given six month trading ban and a fine
- By: Regan Ray
- March 6, 2008 March 6, 2008
- 15:59
Regulators issue report on risk management practices of global banks
Firms failed to control risks of concentrated exposure to securitizations of U.S. subprime mortgage-related credit
- By: James Langton
- March 6, 2008 March 6, 2008
- 13:20
FINRA suspends 16 State Farm reps
Authority doled out fines, suspensions and one ban
- By: James Langton
- March 6, 2008 March 6, 2008
- 10:59
UK regulator helps investors retrieve funds from N.A. boiler rooms
FSA works with Canadian regulators to freeze funds
- By: James Langton
- March 6, 2008 March 6, 2008
- 10:25
Fidelity charged with taking US$1.6 million in gifts from brokers
SEC orders firm to pay US$8 million penalty
- By: James Langton
- March 5, 2008 March 5, 2008
- 17:10
SEC votes on new proposals
Commission will propose two new rules for ETFs
- By: James Langton
- March 5, 2008 March 5, 2008
- 17:01
B.C., Manitoba regulators investigating Gold-Quest
Company offering annual return of 87.5%
- By: IE Staff
- March 5, 2008 March 5, 2008
- 10:20
FSA to a to test delivery of the UK’s first national money guidance service
The UK government is launching a two year pilot project that will provide free, basic financial advice to those that can’t afford commercial advice.The new…
- By: James Langton
- March 3, 2008 March 3, 2008
- 12:50
Canada makes progress in combatting money laundering and terrorist financing
FATF releases report
- By: IE Staff
- February 29, 2008 February 29, 2008
- 15:30
Quebec to continue opposition to single securities regulator
In response to the news that a new federal panel has been tasked to study ways to improve securities regulation, Quebec’s Minister of Finance, Monique…
- By: James Langton
- February 29, 2008 February 29, 2008
- 12:10
CSA proposes enhancements to registration regime
Changes address concerns of stakeholders, regulators say
- By: IE Staff
- February 29, 2008 February 29, 2008
- 11:20
Sokobin to head SEC’s Office of Risk Assessment
The U.S. Securities and Exchange Commission has appointed a new head for its Office of Risk Assessment, and plans to beef up its efforts to…
- By: IE Staff
- February 29, 2008 February 29, 2008
- 08:40
FINRA settles with five firms over improper mutual fund sales
Merrill Lynch, Prudential Securities, Pruco and UBS fined a total of US$2.4 million
- By: James Langton
- February 29, 2008 February 29, 2008
- 08:35
Regulators kick off Fraud Prevention Month
CSA joins forces with Fraud Prevention Forum
- By: IE Staff
- February 28, 2008 February 28, 2008
- 13:10
BCSC fines two firms for advising investors without registration in B.C.
CWM and MacDougall agree to pay registration fees
- By: Regan Ray
- February 27, 2008 February 27, 2008
- 13:40
OSC releases key findings of environmental reporting review
Review identifies environmental liabilities and risks as areas of concern
- By: IE Staff
- February 27, 2008 February 27, 2008
- 11:40
IDA seeks comment on Client Relationship Model
Measure aimed at improving transparency in client relationships
- By: James Langton
- February 25, 2008 February 25, 2008
- 13:40
Regulators propose improvements to executive compensation disclosure
Comment period open until April 22
- By: IE Staff
- February 22, 2008 February 22, 2008
- 11:25
Court rejects appeal of BCSC decision
Decision says Savage's appeal bound to fail
- By: James Langton
- February 21, 2008 February 21, 2008
- 17:42