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
Latest news in From the Regulators
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
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