Independent audit committees leave room for improvement: report
Regulators review audit committee composition and responsibilities
- By: James Langton
- June 29, 2007 June 29, 2007
- 15:30
Latest news in From the Regulators
Independent audit committees leave room for improvement: report
OSC revises priority statement
Regulator clarifies intention to examine alternative securities regulatory approaches to specifically include principles-based regulation
- By: James Langton
- June 29, 2007 June 29, 2007
- 14:35
IDA enhances governance structure
Amendments approved by OSC
- By: James Langton
- June 29, 2007 June 29, 2007
- 14:30
BCSC orders Vancouver woman out of exempt product market
A British Columbia Securities Commission panel have imposed sanctions against a former Vancouver-based securities salesperson who failed to ensure that certain speculative and illiquid investments…
- By: IE Staff
- June 29, 2007 June 29, 2007
- 13:40
SEC announces positive early results of Penny Quoting Pilot Program
The U.S. Securities and Exchange Commission today announced that early results from the Penny Quoting Pilot program show lowered trading costs for retail trades. An…
- By: James Langton
- June 29, 2007 June 29, 2007
- 13:14
OSFI unit needs improvement: report
Financial Institutions Group – Deposit Taking Institutions challenged by risk focused supervisory methodology
- By: IE Staff
- June 29, 2007 June 29, 2007
- 09:35
OSFI approves limited issuance of covered bonds
Bonds provide benefits, but raise concerns, regulator says
- By: James Langton
- June 28, 2007 June 28, 2007
- 13:25
NASD settles cases against four firms for failures relating to mutual fund sales
Firms fined over US$1.2 million
- By: IE Staff
- June 28, 2007 June 28, 2007
- 12:40
Proposed bill would allow U.S. exchanges to establish developmental tiers
Measure intended to reverse trend of overseas exchanges recruiting U.S. IPOs
- By: James Langton
- June 28, 2007 June 28, 2007
- 12:40
AMF establishes centre of excellence for derivatives
Centre aims to foster growth of derivatives industry in Quebec
- By: IE Staff
- June 28, 2007 June 28, 2007
- 09:50
NASD fines Wells Fargo Securities for failing to disclose analyst’s employment with covered company in research report
Regulator also suspends former director of research; Files complaint against analyst
- By: James Langton
- June 27, 2007 June 27, 2007
- 14:30
SEC establishes advisory committee to make financial reporting system more user-friendly for investors
MFS Investment Management’s Pozen to chair committee
- By: James Langton
- June 27, 2007 June 27, 2007
- 14:25
TSX-V to appeal BCSC decision regarding Nichols
Exchange stands by its finding of unsuitability
- By: IE Staff
- June 27, 2007 June 27, 2007
- 12:20
UK regulator mulls dividing regulation of retail market
Division would split fee-based advisors as “independent”
- By: James Langton
- June 27, 2007 June 27, 2007
- 09:40
Feds strengthen regulations to combat money laundering and terrorist financing
Regulations to come into effect in two stages
- By: IE Staff
- June 27, 2007 June 27, 2007
- 08:55
SEC sues London-based hedge fund advisor GLG Partners for illegal short selling
GLG Partners LP, a hedge fund firm that announced plans to go public yesterday, today agreed to settle with the U.S. Securities and Exchange Commission.The…
- By: IE Staff
- June 26, 2007 June 26, 2007
- 14:50
BCSC permanently bans man who cost B.C. investors millions
Anderson fined $250,000 for securities fraud
- By: IE Staff
- June 26, 2007 June 26, 2007
- 09:35
Manulife settles John Hancock order with SEC
Will pay US$2 million penalty; $US19 million in disgorgement
- By: James Langton
- June 25, 2007 June 25, 2007
- 15:45
IDA proposes to eliminate appeal panels
Appeals would be directed to securities commissions or courts
- By: James Langton
- June 24, 2007 June 24, 2007
- 15:30
Sale of high yield loan contracts nothing but a Ponzi scheme, BCSC alleges
Regulator issues temporary order
- By: IE Staff
- June 24, 2007 June 24, 2007
- 12:20
Securities ministers reaffirm commitment to passport model
Ministers to examine separating adjudicative and regulatory functions
- By: James Langton
- June 22, 2007 June 22, 2007
- 15:40
CSA extends comment period on choice information processor
New deadline is July
- By: James Langton
- June 22, 2007 June 22, 2007
- 15:10
NBSC head challenges “myths” of national securities regulator
Smith defends passport model
- By: IE Staff
- June 21, 2007 June 21, 2007
- 16:15
Finance launches consultation on modernizing federal securities transfer rules
Discussion paper now online
- By: James Langton
- June 21, 2007 June 21, 2007
- 16:10