OECD and IOPS seek feedback on pension licensing
Deadline for comment is Oct. 5
- By: James Langton
- July 27, 2007 July 27, 2007
- 08:40
Latest news in From the Regulators
UK’s Financial Services Authority unveils new training regime
FSA aims to streamline and simplify program
- By: James Langton
- July 27, 2007 July 27, 2007
- 08:32
SEC approves regulatory merger
Consolidation will result in a single self-regulatory organization
- By: James Langton
- July 27, 2007 July 27, 2007
- 08:14
TD Waterhouse cleared in margin call complaint
Ontario Superior Court says the brokerage acted within its rights in disputed margin call case
- By: James Langton
- July 26, 2007 July 26, 2007
- 15:30
ASC cracks down on Lethbridge-based businesses, salespeople
15-day interim cease trade order in affect
- By: IE Staff
- July 26, 2007 July 26, 2007
- 11:50
NBSC releases progress report on Fullsail initiative
Efforts to improve the province’s capital markets underway
- By: IE Staff
- July 26, 2007 July 26, 2007
- 09:32
SEC, OSC file insider trading charges against Canadian couple
Former MDS employee and spouse made more than US$1 million from stolen information about MDS’s impending merger with Molecular Devices
- By: IE Staff
- July 24, 2007 July 24, 2007
- 13:55
Australian regulator seeks comment on competition for market services
The Australian Securities and Investments Commission has released a consultation paper on the prospect of introducing competition in trading of listed securities and market data.The…
- By: James Langton
- July 24, 2007 July 24, 2007
- 11:25
NYSE Regulation fines Citigroup Global Markets for improper market timing of mutual funds by brokers
Payment of US$50 million includes US$40 million in customer compensation
- By: James Langton
- July 24, 2007 July 24, 2007
- 10:45
Foreign notes program not subject to Bank Act, OSFI rules
Foreign banks selling their debt to Canadian securities dealers are not carrying on business in Canada, regulators says
- By: James Langton
- July 22, 2007 July 22, 2007
- 15:35
CSA concerned about disclosure in linked note prospectuses
Notice provides guidance to issuers
- By: James Langton
- July 22, 2007 July 22, 2007
- 14:45
OSC approves change to MFDA hearing by-law
Proposal allows a panel to consist of two members if an industry representative is unable to continue serving on the panel
- By: James Bagnall
- July 22, 2007 July 22, 2007
- 14:35
Banks no longer need OSFI approval to process data outside of Canada
Regulator expects institutions to ensure processing is in compliance with guidelines dealing with outsourcing
- By: James Langton
- July 20, 2007 July 20, 2007
- 09:40
IDA fines Montreal man $30,000
Regulator places Brunetta under supervision for six months
- By: IE Staff
- July 19, 2007 July 19, 2007
- 11:45
IDA enhances Web site
Rules now linked to bulletins
- By: James Langton
- July 18, 2007 July 18, 2007
- 15:30
U.S. federal and state agencies announce pilot project to improve supervision of subprime mortgage lenders
Pilot scheduled to begin in fourth quarter
- By: James Langton
- July 18, 2007 July 18, 2007
- 07:15
IDA fines 3Macs advisor $130,000
Trudeau failed to use due diligence in executing client trades
- By: IE Staff
- July 16, 2007 July 16, 2007
- 14:20
UBS reaches settlement with New York Attorney General on fee-based program
UBS will reimburse customers US$21.3 million and pay a US$2 million penalty for inappropriately steering customers into fee-based accounts
- By: James Langton
- July 16, 2007 July 16, 2007
- 13:15
U.S. energy trading firm to pay US$11 million to resolve criminal allegations
U.S. DoJ agrees not to file criminal charges
- By: James Langton
- July 16, 2007 July 16, 2007
- 07:35
Sask. and N.B. regulators issue cease trade orders
Saxon Consultants, Saxon Financial ordered to stop selling gasoline and foreign currency options
- By: James Langton
- July 15, 2007 July 15, 2007
- 16:15
New OSC rule designates matching service utilities as market participants
Rule will protect investors, regulator says
- By: James Langton
- July 15, 2007 July 15, 2007
- 15:15
MFDA moves to increase clarity in handling of client complaints
The Mutual Fund Dealers Association of Canada is proposing policy amendments designed to clarify firms’ obligations when handling client complaints.The proposed amendments to the MFDA’s…
- By: James Langton
- July 15, 2007 July 15, 2007
- 14:45
CSA enforcement efforts result in over $3.8 million in fines
The Canadian Securities Administrators members’ latest joint report on enforcement activities shows efforts of securities regulators over the six-month period ended March 31, 2007 resulted…
- By: IE Staff
- July 13, 2007 July 13, 2007
- 10:25
ASC settles illegal insider trading with Calgary lawyer
Lockwood agrees to pay $25,000 and cease trading for a period of five years
- By: IE Staff
- July 12, 2007 July 12, 2007
- 13:55