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
Latest news in From the Regulators
Proposed NASAA rule prohibits misleading use of senior-specific designations
The North American Securities Administrators Association is soliciting comment on a proposed model rule concerning the use of senior-specific certifications and professional designations. The proposed…
- By: James Langton
- November 11, 2007 November 11, 2007
- 16:30
IDA seeks comment on complaint-handling rules
The Investment Dealers Association of Canada has published for comment proposed complaint-handling rules.The IDA’s proposed rule seeks to establish specific requirements for the client complaint…
- By: James Langton
- November 11, 2007 November 11, 2007
- 16:10
ASC sanctions Ontario resident with 20-year market ban
Maitland Capital president ordered to pay $290,000 penalty
- By: IE Staff
- November 9, 2007 December 14, 2017
- 12:35
Securities regulators meet to discuss interactive data timetable
Canada is lagging a number of Asian countries
- By: James Langton
- November 9, 2007 November 9, 2007
- 11:35
OSC finds deficiencies in portfolio manager marketing practices
Regulator recommends firms adopt key practices
- By: James Langton
- November 9, 2007 November 9, 2007
- 11:10
IOSCO reviewing International Auditing Standards
Regulators focusing on whether standards are likely to contribute to high quality audits
- By: James Langton
- November 9, 2007 November 9, 2007
- 10:50
IOSCO launches task force on global credit crisis
The International Organization of Securities Commissions has launched a task force on the subprime crisis to review the issues facing securities regulators following the recent…
- By: James Langton
- November 8, 2007 November 8, 2007
- 12:45
Finance unveils proposals to improve taxation of financial institutions
Amendments aimed at aligning tax law with new ASB standards
- By: James Langton
- November 7, 2007 November 7, 2007
- 16:30
Two individuals convicted in Mount Real case: AMF
Lacroix and Ferruci convicted and fined
- By: James Langton
- November 7, 2007 November 7, 2007
- 13:45
ASC orders lifetime ban against two men for Mexican investment scheme
An Alberta Securities Commission panel has permanently banned two men who operated in the Red Deer area from trading in the Alberta capital market for…
- By: IE Staff
- November 7, 2007 November 7, 2007
- 12:10
IDA to stop issuing bulletins on disciplinary judgments
All judgments now available on Web site
- By: James Langton
- November 6, 2007 November 6, 2007
- 09:45
FINRA expels Franklin Ross, Inc.
Firm’s current and former presidents violated anti-money laundering rules
- By: James Langton
- November 5, 2007 November 5, 2007
- 15:50
SEC proposes rule changes to provide investors Internet access to exemptive applications
Rule changes also would end unnecessary administrative burdens for filers
- By: James Langton
- November 2, 2007 November 2, 2007
- 15:25
IDA hearing panel stays disciplinary hearing against Global Securities
Alleged violations occurred outside the six year limitation period
- By: IE Staff
- November 2, 2007 November 2, 2007
- 10:20
OSC report highlights corporate finance activities
The Ontario Securities Commission released a report today summarizing the operational activities of the corporate finance branch for the 2007 fiscal year.The branch is directly…
- By: IE Staff
- November 1, 2007 November 1, 2007
- 14:45
Use of pre-signed forms is against the rules, MFDA warns
Forms may be evidence that a rep is engaging in discretionary trading
- By: James Langton
- October 31, 2007 October 31, 2007
- 15:55
Quebec seeks input on business investment, rate setting
Province establishes two economic task forces
- By: James Langton
- October 31, 2007 October 31, 2007
- 13:40
BCSC proposes new rules for U.S. OTC issuers and dealers
The BCSC is inviting comments on the proposed rules until the end of the year
- By: IE Staff
- October 30, 2007 October 30, 2007
- 15:20
U.S. regulators gear new initiative to broker-dealer firms
The program will help compliance chiefs ensure effective communication about compliance and maintain effective controls at their firms
- By: James Langton
- October 30, 2007 October 30, 2007
- 12:38
FINRA fines Oppenheimer $1 million
Firm submitted mutual fund breakpoint data it knew was inaccurate
- By: James Langton
- October 30, 2007 October 30, 2007
- 10:21
BCSC hosts Capital Ideas conference
Expert panel to debate how to improve Canadian securities enforcement
- By: IE Staff
- October 29, 2007 October 29, 2007
- 14:20
ASC seeks permanent cease trade order against B.C. resident
Alberta Securities Commission staff are seeking to ban Brian David Anderson of White Rock, British Columbia from Alberta capital markets.In a notice of hearing, ASC…
- By: IE Staff
- October 29, 2007 October 29, 2007
- 12:20
FINRA fines UBS US$370,000 for late reporting, failing to report broker information
The U.S. Financial Industry Regulatory Authority today censured and fined UBS Financial Services, Inc. US$370,000, for making hundreds of late disclosures to FINRA’s Central Registration…
- By: James Langton
- October 25, 2007 October 25, 2007
- 15:10
SROs working on new standards for complaint handling, investors told
Investor Forum marks second meeting between regulators and investors
- By: James Langton
- October 25, 2007 October 25, 2007
- 09:20