RS chooses encrypted message exchange provider for market participants
Echoworx EMX ensures information is protected against unauthorized modification or interception
- By: IE Staff
- September 27, 2007 September 27, 2007
- 09:15
Latest news in From the Regulators
Portus co-founders charged with fraud, money-laundering
Mendelson to appear in Toronto court
- By: IE Staff
- September 26, 2007 September 26, 2007
- 14:20
SEC launches Web-based program to warn investors about questionable securities solicitations
Regulator seeking public comment
- By: James Langton
- September 26, 2007 September 26, 2007
- 14:15
Independent audit regulators wrap up meeting in Toronto
Boyle named IFIAR incoming chairman
- By: IE Staff
- September 26, 2007 September 26, 2007
- 11:10
NBSC investigating Locate Technologies and Tubtron Controls
Regulator seeking cease-trade order
- By: James Langton
- September 26, 2007 September 26, 2007
- 07:25
Investor-friendly financial reporting moved closes to reality: SEC
Regulator announces completion of all work on developing data tags for the entire system of U.S. GAAP
- By: James Langton
- September 25, 2007 September 25, 2007
- 11:45
Seven CRAs register with SEC as Nationally Recognized Statistical Rating Organizations
Oversight of credit rating agencies will protect investors, Cox says
- By: James Langton
- September 25, 2007 September 25, 2007
- 08:15
Flaherty encouraging talks between TSX, MX
Finance minister reiterates call for change to securities regulation system
- By: IE Staff
- September 25, 2007 September 25, 2007
- 06:35
ASC finds Toronto residents illegally traded Limelight shares
Investors left with worthless, illiquid investment, regulator says
- By: IE Staff
- September 24, 2007 September 24, 2007
- 11:10
Change in Canada-U.S. tax treaty welcomed by CBA
The Canadian Bankers Association said Friday it applauds the federal government for keeping its 2007 federal budget promise to eliminate the withholding tax as outlined…
- By: IE Staff
- September 23, 2007 September 23, 2007
- 13:16
SEC charges 38, including Wall St. employees
The U.S. Securities and Exchange Commission charged 38 defendants for involvement in a series of fraudulent schemes involving phoney finder fees and illegal kickbacks in…
- By: James Langton
- September 20, 2007 September 20, 2007
- 14:10
IDA schedules Montreal hearing for Dan Ionescu
The Investment Dealers Association today said it will hold an Oct. 22 hearing in Montreal to consider a settlement agreement with Dan Ionescu, a former…
- By: IE Staff
- September 20, 2007 September 20, 2007
- 11:33
SEC passes final rule on bank broker provisions
The U.S. Securities and Exchange Commission has passed final rules defining how banks can act as securities brokers, in hopes it will spur more competition…
- By: James Langton
- September 20, 2007 September 20, 2007
- 08:04
HSBC Bank USA to pay US$10.5 million in SEC settlement
The U.S. Securities and Exchange Commission announced settled enforcement proceedings against HSBC Bank USA that will see the bank pay a US$10 million civil penalty…
- By: James Langton
- September 19, 2007 September 19, 2007
- 15:21
Alberta releases report on energy royalty and tax regime
Alberta’s government has publicly released the final report of an expert panel asked to examine the province’s energy royalty and tax regime.The report provides recommendations…
- By: IE Staff
- September 19, 2007 September 19, 2007
- 09:11
U.S. bill affecting American IPOs passes a committee vote
Proposal is designed to stave off U.S. IPOs on TSX and London market
- By: James Langton
- September 18, 2007 September 18, 2007
- 16:47
Regulators on both sides of Atlantic should make rules uniform
Trading costs could slide if markets truly integrate, group says
- By: James Langton
- September 18, 2007 September 18, 2007
- 16:10
SEC’s enforcement division needs improving, report says
The U.S. regulator is aware of the problems and agrees to make changes
- By: James Langton
- September 17, 2007 September 17, 2007
- 16:06
Exchange aims to reduce its annual costs by 100 million
- By: James Langton
- September 17, 2007 September 17, 2007
- 10:01
OSFI releases updated capital adequacy guidelines
New guidelines correct errors from previous version released in December 2006
- By: James Langton
- September 16, 2007 September 16, 2007
- 15:34
Mackenzie funds receive permission to invest more than 10% in foreign debt
The relief allows the funds to invest up to 20% of net assets in the debt issued, or guaranteed fully, by supranational agencies of foreign…
- By: James Langton
- September 16, 2007 September 16, 2007
- 14:40
IDA fines Calgary advisor $100,000
Vance Elder knew, or was wilfully blind, to the fact his administrative assistant signed client signatures, as well his, on client account documentation
- By: IE Staff
- September 13, 2007 September 13, 2007
- 10:50
IDA board approves amendments to margining of equity and related securities rules
New methodology determines a customized margin rate for each listed equity
- By: James Langton
- September 12, 2007 September 12, 2007
- 15:56
U.S. SEC communication with mutual fund industry improving
Concerns that some registrants have raised about the lack of communication from SEC examiners also considered in GAO report
- By: James Langton
- September 12, 2007 September 12, 2007
- 11:25