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
Latest news in From the Regulators
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
NASD fines Wachovia Securities US$2 million for fee-based account violations
Regulator also orders firm to identify and pay restitution to 1,300 customers
- By: James Langton
- June 21, 2007 June 21, 2007
- 15:35
IDA slaps Beaudoin with $50,000 fine
Montreal rep permanently banned from approval for failing to cooperate
- By: IE Staff
- June 20, 2007 June 20, 2007
- 14:50
Toronto man arrested in multi-million-dollar investment fraud investigation
Police allege Lewis concealed trading losses and stole investors’ capital
- By: James Langton
- June 20, 2007 June 20, 2007
- 11:10
Flaherty announces new panel to improve securities regulation
Finance minister stresses importance of creating a Canadian advantage in global capital markets
- By: James Langton
- June 20, 2007 June 20, 2007
- 07:30
OSFI issues draft revised versions of guidelines general allowances impaired loans
Regulator proposes eliminating disclosure requirements
- By: James Langton
- June 19, 2007 June 19, 2007
- 15:15
Federal Reserves orders RBC Centure to pay US$107,000 civil penalty
Bank allegedly violated National Flood Insurance Act
- By: James Langton
- June 19, 2007 June 19, 2007
- 14:30