Flaherty to introduce legislation for common securities regulator
Model will favour UK-style principles-based regulation
- By: James Langton
- December 6, 2007 December 6, 2007
- 11:10
Latest news in From the Regulators
IDA panel dismisses charge of failure to cooperate against Calgary man
Bahcheli reasonably relied on legal advice regarding solicitor-client privilege and privacy issues, panel finds
- By: IE Staff
- December 5, 2007 December 5, 2007
- 13:30
IDA expels Graydon Elliott Capital
A hearing panel of the Investment Dealers Association of Canada has expelled Graydon Elliott Capital Corp. from its membership.In its decision dated October 29 the…
- By: IE Staff
- December 5, 2007 December 5, 2007
- 12:50
FSA calls on lenders to protect themselves against a possible worsening of credit risks
The UK’s Financial Services Authority is urging lenders to protect themselves against a possible worsening of liquidity and credit risks. Speaking at the Council of…
- By: IE Staff
- December 4, 2007 December 4, 2007
- 11:45
MFDA names three industry directors
Directors to serve two-year terms
- By: James Langton
- December 4, 2007 December 4, 2007
- 10:40
IDA hearing panel fines Halifax branch manager $70,000
Youden failed to supervise Bagnell
- By: IE Staff
- December 3, 2007 December 3, 2007
- 14:35
ASC bans B.C. resident from Alberta market
Rempel raised $3.6 million through illegal trades and distributions of various securities
- By: IE Staff
- December 3, 2007 December 3, 2007
- 12:30
OSC publishes new newsletter for fund industry
The Investment Funds Branch of the Ontario Securities Commission has published the second issue of its newsletter for the fund industry, the Investment Funds Practitioner.The…
- By: IE Staff
- December 2, 2007 December 2, 2007
- 15:44
Canada Revenue Agency reaches union deal
A majority of members of the Public Service Alliance of Canada have voted in favour of accepting a tentative agreement with the Canada Revenue Agency.…
- By: IE Staff
- December 2, 2007 December 2, 2007
- 13:50
Canada’s system of international taxation to be studied
The federal Department of Finance has established an advisory panel to consider ways to improve the fairness and competitiveness of Canada’s system of international taxation.The…
- By: IE Staff
- November 30, 2007 November 30, 2007
- 13:12
ECB takes steps to ensure banking liquidity
The European Central Bank announced that it will be taking added measures to ensure banking system liquidity over the holidays.The ECB’s governing council decided, by…
- By: IE Staff
- November 30, 2007 November 30, 2007
- 11:52
Regulatory system works fine, says NASAA
The North American Securities Administrators Association says that the current securities industry regulatory structure doesn’t need any major changes.In a submission to the U.S. Department…
- By: IE Staff
- November 30, 2007 November 30, 2007
- 11:12
SEC releases sample format for proposed mutual fund summary prospectus
Commission seeks investor input on proposal to improve mutual fund disclosure
- By: James Langton
- November 29, 2007 November 29, 2007
- 16:35
MFDA issues second notice of settlement hearing in Berkshire case
Previous settlement rejected by panel
- By: James Langton
- November 29, 2007 November 29, 2007
- 12:25
BCSC issues temporary order against principal of Vancouver investor relations firm
Regulator alleges Badshah committed fraud
- By: IE Staff
- November 29, 2007 November 29, 2007
- 10:35
FINRA fines Wachovia for deficient disclosures in research reports
The Financial Industry Regulatory Authority announced that it has censured and fined Wachovia Capital Markets, LLC US$300,000 for violations of FINRA’s research analyst conflict of…
- By: James Langton
- November 28, 2007 November 28, 2007
- 16:45
IOSCO Task Force publishes final report on private equity
The International Organization of Securities Commissions published the report of its Technical Committee’s Task Force on Private Equity today, highlighting plans to focus further work…
- By: James Langton
- November 28, 2007 November 28, 2007
- 16:40
OSC names special advisor on enforcement and ethics
Angus appointment takes effect in January
- By: IE Staff
- November 28, 2007 November 28, 2007
- 15:30
Registration reform hinges on harmonious application of new standard
Consistency across jurisdictions proved the biggest challenge, panel says
- By: Kate Betts-Wilmott
- November 27, 2007 November 27, 2007
- 15:15
Fewer regulators would be better, says former SEC head
Canada, U.S. could do with fewer securities regulators, Levitt says
- By: James Langton
- November 27, 2007 November 27, 2007
- 14:30
OSC to appoint special advisor on enforcement and ethics
Cooperation, coordination and consistency must improve across jurisdictions, Wilson says
- By: James Langton
- November 27, 2007 November 27, 2007
- 12:35
IDA fines Montreal rep $10,000
Ionescu failed to exercise due diligence in hedge fund investment
- By: IE Staff
- November 26, 2007 November 26, 2007
- 16:30
B.C. strengthens enforcement powers, improves investor protection
The B.C. Securities Commission reports that various amendments to the province’s Securities Act have received Royal Assent.The amendments are designed to: harmonize with other provinces;…
- By: James Langton
- November 26, 2007 November 26, 2007
- 11:45
OSC seeks members for Securities Advisory Committee
The SAC provides advice to the commission and staff on a variety of matters including legislative and policy initiatives and capital markets trends. It also…
- By: James Langton
- November 25, 2007 November 25, 2007
- 15:15
CSA to revise disclosure rule for small cap firms
Regulators seek comment on amended proposal
- By: James Langton
- November 25, 2007 November 25, 2007
- 15:10