New disclosure regime for principal protected notes outlined
Proposed regulations to be released tomorrow
- By: IE Staff
- November 25, 2007 November 25, 2007
- 13:45
Latest news in From the Regulators
ASC provides relief for venture issuers
The Alberta Securities Commission (ASC) has issued a blanket order to provide relief for venture issuers from certain certification requirements currently outlined in Multilateral Instrument…
- By: IE Staff
- November 23, 2007 November 23, 2007
- 11:10
OSFI chief outlines challenges banks faced moving to Basel II
Insurers likely to encounter similar hurdles
- By: James Langton
- November 22, 2007 November 22, 2007
- 15:55
IDA imposes permanent ban on former Desjardins Securities rep
Djordjevic fined $50,000 for forging client’s signature
- By: IE Staff
- November 22, 2007 November 22, 2007
- 12:10
IDA circular outlines proposed merger with Market Regulation Services
New SRO would combine regulatory activities of IDA and RS in a single organization
- By: James Langton
- November 22, 2007 November 22, 2007
- 08:20
SEC announces US$31.5 million to investors Injured by undisclosed market timing in MFS Funds
The U.S. Securities and Exchange Commission reported that it has distributed US$31.5 million to more than 150,000 investors who were harmed by undisclosed mutual fund…
- By: James Langton
- November 20, 2007 November 20, 2007
- 17:35
MFDA Policy Advisory Committee gets four new members
The Mutual Fund Dealers Association of Canada has announced four new members of its Policy Advisory Committee.The MFDA PAC provides advice, comments and reports to…
- By: James Langton
- November 20, 2007 November 20, 2007
- 17:30
Former Edmonton lawyer guilty of breaching ASC order
Rusnak acting as director for nine issuers despite 20-year prohibition, judge finds
- By: IE Staff
- November 20, 2007 November 20, 2007
- 11:25
Portus co-founder sentenced to two years in prison
Mendelson pleads guilty to fraud
- By: IE Staff
- November 20, 2007 November 20, 2007
- 08:35
IOSCO finalizes Principles for the Valuation of Hedge Fund Portfolios
Principles aimed at strengthening controls, oversight and independence of the valuation process
- By: James Langton
- November 19, 2007 November 19, 2007
- 16:45
Former JDM Financial owner fined for use of pre-signed client forms
MFDA hearing panel approves settlement agreement with Moro
- By: IE Staff
- November 19, 2007 November 19, 2007
- 15:30
ASC sanctions B.C. resident for illegal trading
Action follows 20-year ban imposed by BCSC
- By: IE Staff
- November 19, 2007 November 19, 2007
- 15:10
TD, Scotia fund companies approved to trade mortgages with affiliates
Two of the bank-owned fund companies have received regulatory relief allowing their funds to continue trading mortgages and mortgage-backed securities with their affiliates.In decisions reported…
- By: James Langton
- November 18, 2007 November 18, 2007
- 15:10
OSC issues final draft of rule dealing with takeover bids
Harmonized rule removes detailed bid provisions from statutes and substitutes general “platform” provisions
- By: IE Staff
- November 18, 2007 November 18, 2007
- 14:55
MFDA warns firms about “stealth advising”
Regulator finds non-registered individuals providing account services and advice to clients
- By: James Langton
- November 16, 2007 November 16, 2007
- 10:45
SEC proposes improvement of mutual fund disclosure
Rules would require investors receive clear, concise summary of key fund information
- By: IE Staff
- November 16, 2007 November 16, 2007
- 10:40
SEC takes action to improve consistency of disclosure to U.S. investors in foreign companies
The U.S. Securities and Exchange Commission voted unanimously to approve rule amendments allowing financial statements from foreign private issuers to be accepted without reconciliation to…
- By: James Langton
- November 16, 2007 November 16, 2007
- 10:30
UK regulator fines London branch of TD Bank for systems and controls failings
FSA bans fixed income trader from carrying out regulated activities
- By: James Langton
- November 16, 2007 November 16, 2007
- 10:10
Alberta pension watchdog issues warning on locked-in accounts scheme
Superintendent of Pensions investigating
- By: James Langton
- November 14, 2007 November 14, 2007
- 16:10
FTC Adopts Limited Registration Exemption for Foreign-Based Intermediaries
The U.S. Commodity Futures Trading Commission has adopted regulatory amendments that codify its longstanding exemption policy towards foreign brokers. The CFTC says that the amendments…
- By: James Langton
- November 14, 2007 November 14, 2007
- 12:50
SEC renames Division of Market Regulation
Division of Trading and Markets better reflects unit’s responsibilities
- By: James Langton
- November 14, 2007 November 14, 2007
- 10:10
IDA hearing panel permanently bars former CIBC rep
Evans ordered to pay $180,000
- By: IE Staff
- November 13, 2007 November 13, 2007
- 16:25
Quebec moves to improve investor protection
Bill 19 makes it easier for an investor to sue for damages regarding improper disclosure
- By: James Langton
- November 13, 2007 November 13, 2007
- 10:55
IDA approves amendments to proficiency requirements for futures contract portfolio managers
The board of the Investment Dealers Association of Canada has approved changes to proficiency requirements for futures contract portfolio managers.The rule changes add an educational…
- By: James Langton
- November 12, 2007 November 12, 2007
- 10:30
UK regulator proposes greater disclosure of “Contracts for Difference”
FSA consultation paper paper proposes two alternative approaches to securing greater disclosure
- By: James Langton
- November 12, 2007 November 12, 2007
- 10:20