Former JDM Financial owner fined for use of pre-signed client forms
MFDA hearing panel approves settlement agreement with Moro
- By: IE Staff
- November 19, 2007 November 19, 2007
- 15:30
Latest news in From the Regulators
ASC sanctions B.C. resident for illegal trading
Action follows 20-year ban imposed by BCSC
- By: IE Staff
- November 19, 2007 November 19, 2007
- 15:10
TD, Scotia fund companies approved to trade mortgages with affiliates
Two of the bank-owned fund companies have received regulatory relief allowing their funds to continue trading mortgages and mortgage-backed securities with their affiliates.In decisions reported…
- By: James Langton
- November 18, 2007 November 18, 2007
- 15:10
OSC issues final draft of rule dealing with takeover bids
Harmonized rule removes detailed bid provisions from statutes and substitutes general “platform” provisions
- By: IE Staff
- November 18, 2007 November 18, 2007
- 14:55
MFDA warns firms about “stealth advising”
Regulator finds non-registered individuals providing account services and advice to clients
- By: James Langton
- November 16, 2007 November 16, 2007
- 10:45
SEC proposes improvement of mutual fund disclosure
Rules would require investors receive clear, concise summary of key fund information
- By: IE Staff
- November 16, 2007 November 16, 2007
- 10:40
SEC takes action to improve consistency of disclosure to U.S. investors in foreign companies
The U.S. Securities and Exchange Commission voted unanimously to approve rule amendments allowing financial statements from foreign private issuers to be accepted without reconciliation to…
- By: James Langton
- November 16, 2007 November 16, 2007
- 10:30
UK regulator fines London branch of TD Bank for systems and controls failings
FSA bans fixed income trader from carrying out regulated activities
- By: James Langton
- November 16, 2007 November 16, 2007
- 10:10
Alberta pension watchdog issues warning on locked-in accounts scheme
Superintendent of Pensions investigating
- By: James Langton
- November 14, 2007 November 14, 2007
- 16:10
FTC Adopts Limited Registration Exemption for Foreign-Based Intermediaries
The U.S. Commodity Futures Trading Commission has adopted regulatory amendments that codify its longstanding exemption policy towards foreign brokers. The CFTC says that the amendments…
- By: James Langton
- November 14, 2007 November 14, 2007
- 12:50
SEC renames Division of Market Regulation
Division of Trading and Markets better reflects unit’s responsibilities
- By: James Langton
- November 14, 2007 November 14, 2007
- 10:10
IDA hearing panel permanently bars former CIBC rep
Evans ordered to pay $180,000
- By: IE Staff
- November 13, 2007 November 13, 2007
- 16:25
Quebec moves to improve investor protection
Bill 19 makes it easier for an investor to sue for damages regarding improper disclosure
- By: James Langton
- November 13, 2007 November 13, 2007
- 10:55
IDA approves amendments to proficiency requirements for futures contract portfolio managers
The board of the Investment Dealers Association of Canada has approved changes to proficiency requirements for futures contract portfolio managers.The rule changes add an educational…
- By: James Langton
- November 12, 2007 November 12, 2007
- 10:30
UK regulator proposes greater disclosure of “Contracts for Difference”
FSA consultation paper paper proposes two alternative approaches to securing greater disclosure
- By: James Langton
- November 12, 2007 November 12, 2007
- 10:20
Proposed NASAA rule prohibits misleading use of senior-specific designations
The North American Securities Administrators Association is soliciting comment on a proposed model rule concerning the use of senior-specific certifications and professional designations. The proposed…
- By: James Langton
- November 11, 2007 November 11, 2007
- 16:30
IDA seeks comment on complaint-handling rules
The Investment Dealers Association of Canada has published for comment proposed complaint-handling rules.The IDA’s proposed rule seeks to establish specific requirements for the client complaint…
- By: James Langton
- November 11, 2007 November 11, 2007
- 16:10
ASC sanctions Ontario resident with 20-year market ban
Maitland Capital president ordered to pay $290,000 penalty
- By: IE Staff
- November 9, 2007 December 14, 2017
- 12:35
Securities regulators meet to discuss interactive data timetable
Canada is lagging a number of Asian countries
- By: James Langton
- November 9, 2007 November 9, 2007
- 11:35
OSC finds deficiencies in portfolio manager marketing practices
Regulator recommends firms adopt key practices
- By: James Langton
- November 9, 2007 November 9, 2007
- 11:10
IOSCO reviewing International Auditing Standards
Regulators focusing on whether standards are likely to contribute to high quality audits
- By: James Langton
- November 9, 2007 November 9, 2007
- 10:50
IOSCO launches task force on global credit crisis
The International Organization of Securities Commissions has launched a task force on the subprime crisis to review the issues facing securities regulators following the recent…
- By: James Langton
- November 8, 2007 November 8, 2007
- 12:45
Finance unveils proposals to improve taxation of financial institutions
Amendments aimed at aligning tax law with new ASB standards
- By: James Langton
- November 7, 2007 November 7, 2007
- 16:30
Two individuals convicted in Mount Real case: AMF
Lacroix and Ferruci convicted and fined
- By: James Langton
- November 7, 2007 November 7, 2007
- 13:45
ASC orders lifetime ban against two men for Mexican investment scheme
An Alberta Securities Commission panel has permanently banned two men who operated in the Red Deer area from trading in the Alberta capital market for…
- By: IE Staff
- November 7, 2007 November 7, 2007
- 12:10