FSA moves to enhance supervision in wake of Northern Rock collapse
Review by UK regulator unveils four key failings
- By: James Langton
- March 26, 2008 March 26, 2008
- 09:10
Latest news in From the Regulators
IDA panel reinstates former Golden Capital rep
The Investment Dealers Association of Canada (IDA) announced today that following an expedited review hearing held on March 20, an IDA hearing panel has reinstated…
- By: IE Staff
- March 25, 2008 March 25, 2008
- 13:20
SEC charges Biovail and executives with accounting fraud
Biovail to pay US$10 million penalty
- By: IE Staff
- March 24, 2008 March 24, 2008
- 10:50
SEC announces next steps for implementation of mutual recognition regime
Framework would allow for discussions with jurisdictions with multiple securities regulators
- By: James Langton
- March 24, 2008 March 24, 2008
- 09:30
MFDA outlines proper procedures for accounts during rep transfers, dealer mergers
The Mutual Fund Dealers Association of Canada has issued a notice to clarify the responsibilities of its members in servicing client accounts in the event…
- By: James Langton
- March 20, 2008 March 20, 2008
- 15:40
OSC proposes guidelines on early enforcement settlements
Regulator seeks comment
- By: IE Staff
- March 20, 2008 March 20, 2008
- 14:20
UK regulator issues warning on market abuse
FSA investgating possible abusive trading
- By: James Langton
- March 19, 2008 March 19, 2008
- 09:10
Securities passport system now in effect
The Saskatchewan Financial Services Commission reports that the national rule implementing the passport system comes into force today.The passport system rule implements a system that…
- By: James Langton
- March 17, 2008 March 17, 2008
- 15:50
Duo ordered to appear before ASC inquiry
ASC may share information with SEC
- By: James Langton
- March 17, 2008 March 17, 2008
- 14:55
ASC finds Calgary businessman engaged in illegal trading
Money invested in four companies “lost”, ASC panel says
- By: IE Staff
- March 17, 2008 March 17, 2008
- 14:20
Fed offers loans to securities dealers
Dealers may borrow from Fed on much the same terms as banks
- By: James Langton
- March 17, 2008 March 17, 2008
- 06:25
Alberta businessman banned and fined for illegal trades
Cochrane faces ASC for the second time
- By: Regan Ray
- March 14, 2008 March 14, 2008
- 14:02
SEC files insider trading charges related to Eurex-ISE merger
ISE vice chairman and two partners named
- By: James Langton
- March 13, 2008 March 13, 2008
- 17:40
IDA fines two former Desjardins reps
Kasman and Anderson must each pay $25,000
- By: Regan Ray
- March 13, 2008 March 13, 2008
- 16:03
SEC suspends trading of 26 companies
Action taken to combat "corporate hijackings"
- By: James Langton
- March 13, 2008 March 13, 2008
- 11:20
Regulators adopt harmonized prospectus rule
New rule will make it easier to distribute securities across Canada, CSA says
- By: IE Staff
- March 13, 2008 March 13, 2008
- 10:15
CFTC hosts international regulators to discuss futures industry issues
The U.S. Commodity Futures Trading Commission announced today that it is hosting more than 50 futures industry regulators from around the world today to discuss…
- By: IE Staff
- March 12, 2008 March 12, 2008
- 13:30
Norbourg CEO denied fraud appeal
A judge ejected Lacroix’s motion for appeal in a short hearing Tuesday at Quebec Superior Court in Montreal.The founder and former president of Norbourg Investments…
- By: IE Staff
- March 12, 2008 March 12, 2008
- 10:10
CFTC, SEC sign agreement to facilitate review of new derivative products
U.S. derivatives regulators and securities regulators announced a deal intended to improve cooperation between them, enabling them to deal with financial innovations that blur the…
- By: James Langton
- March 11, 2008 March 11, 2008
- 15:55
UK regulator takes action to prevent “rogue trader” incidents
FSA highlights measures firms should consider when reviewing systems and controls
- By: James Langton
- March 11, 2008 March 11, 2008
- 11:45
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
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