Flaherty names new governor of the Bank of Canada
Mark Carney, 42, a senior official in the federal Finance Department, will be the next governor of the Bank of Canada, replacing the retiring David…
- By: IE Staff
- October 4, 2007 October 4, 2007
- 15:20
Latest news in From the Regulators
Newfoundland delegates registration of reps and firms to IDA
Review of all submissions will be performed by IDA staff
- By: James Langton
- October 3, 2007 October 3, 2007
- 14:55
NASAA installs new president, board of directors
Tyler named president; Joseph to serve as president-elect
- By: IE Staff
- October 3, 2007 October 3, 2007
- 09:10
OSC charges Imagin Diagnostic Centres
The Ontario Securities Commission has filed charges of violating securities law against Patrick Rooney, his wife Cynthia Jordan and five employees at Imagin Diagnostic Centres…
- October 2, 2007 October 2, 2007
- 15:55
U.S. Commodity Futures Trading Commission continues aggressive enforcement program
CFTC achieved record judgments during Fiscal Year 2007
- October 2, 2007 October 2, 2007
- 14:10
French regulator OKs use of U.S. filings
U.S. standards called equivalent to European requirements
- By: James Langton
- October 2, 2007 October 2, 2007
- 10:35
OSFI issues advisory on the insurance of risks
The Office of the Superintendent of Financial Institutions has issued a new regulatory and legislative advisory on the insurance of risks in Canada.The advisory provides…
- By: James Langton
- October 1, 2007 October 1, 2007
- 15:40
AMF issues second proposal on registration reform
Quebec regulator sets out measures to harmonize regulation for fund distribution sector
- By: James Langton
- October 1, 2007 October 1, 2007
- 15:35
Mawer, Desjardins granted exemptions from self-dealing prohibitions
Exemptions allow related parties to acquires funds’ ABCP
- By: James Langton
- September 30, 2007 September 30, 2007
- 14:25
CSA reviewing corporate governance rules
Findings to be published in 2008
- By: James Langton
- September 30, 2007 September 30, 2007
- 14:20
OSC approves amendments to IDA proficiency requirements
Changes establish standards for the qualification of chief compliance officers
- By: James Langton
- September 28, 2007 September 28, 2007
- 13:55
Regulators clarify differences between institutional trades and broker to broker trades
IDA, CDS issue joint notice
- By: James Langton
- September 28, 2007 September 28, 2007
- 09:15
Ontario man faces 16 charges following investment fraud investigation
Eight investors fleeced
- By: James Langton
- September 28, 2007 September 28, 2007
- 08:50
Morgan Stanley to pay US$12.5 million to FINRA
The U.S. Financial Industry Regulatory Authority today announced a settlement with Morgan Stanley & Co. over allegations that it failed to provide emails to regulators…
- By: James Langton
- September 27, 2007 September 27, 2007
- 13:10
ASC seeking permanent cease trade order against firms barred by NBSC
Saxon Consultants, Merchant Capital Markets and Meisner Corp.
- By: IE Staff
- September 27, 2007 September 27, 2007
- 12:45
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
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