Reporting requirements for internal controls to apply by mid-2008, CSA says
Regultaors to publish proposed revisions for public comment by the end of March
- By: James Langton
- February 9, 2007 February 9, 2007
- 10:55
Latest news in From the Regulators
NYSE Regulation centures Deutsche Bank Securities
Firm fined US$1.3 million in two actions
- By: James Langton
- February 8, 2007 February 8, 2007
- 11:35
NASD cautions investors about life settlements
High costs, pricing, impact on finances and privacy potential pitfalls
- By: James Langton
- February 8, 2007 February 8, 2007
- 10:55
NYSE Regulation takes action against three firms
NYSE Regulation today announced disciplinary actions against three firms.Morgan Stanley & Co. Inc. allegedly violated NYSE rules by failing to provide for, maintain, and implement…
- By: James Langton
- February 7, 2007 February 7, 2007
- 10:40
NYSE Regulation fines former president of specialist firm for failure to supervise
Charges also issued against nine others in connection with interpositioning investigation
- By: James Langton
- February 6, 2007 February 6, 2007
- 11:25
CCIR agrees on three principles as best practices in managing conflicts of interest
FSCO plans to review principles
- By: James Langton
- February 6, 2007 February 6, 2007
- 11:15
NASD fines four Fidelity-affiliated dealers US$3.75 million
Fidelity Distributors failed to supervise for compliance, conflicts of interest
- By: James Langton
- February 5, 2007 February 5, 2007
- 16:20
IDA fines Unions Securities manager $15,000
Calgary branch manager failed to supervise client accounts
- By: IE Staff
- February 5, 2007 February 5, 2007
- 13:55
AMF amends guideline on capital adequacy for insurers and cooperatives
Revised guidelines effective January 1
- By: James Langton
- February 2, 2007 February 2, 2007
- 16:40
B.C. father and son duo admit to illegal distribution of offshore securities
Pair made misrepresentations to investors, regulator says
- By: IE Staff
- February 2, 2007 February 2, 2007
- 09:50
CFTC issues new governance guidelines for futures exchanges
Focus on the dual roles of exchanges as for-profit businesses and industry watchdogs
- By: James Langton
- February 1, 2007 February 1, 2007
- 12:40
SEC proposes expansion of interactive data voluntary program
Expanded program would enable mutual funds to submit data tagged risk/return summary information
- By: IE Staff
- February 1, 2007 February 1, 2007
- 11:30
Banks taking cautious approach to hedge funds: OSFI
Risk management practices are adequate
- By: James Langton
- January 31, 2007 January 31, 2007
- 16:30
FSA urges firms to improve stress testing
Report highlights the greater impact a shock could have were it to happen in the next 18 months
- By: James Langton
- January 31, 2007 January 31, 2007
- 10:10
Tougher penalties need to protect investors, AMF says
The Autorité des marchés financiers says that tougher penalties are needed for securities violators, among other measures, necessary to protect investors.The AMF said that it…
- By: James Langton
- January 30, 2007 January 30, 2007
- 16:40
SEC settles with former SG Cowen officer on insider trading charges
Townes agrees to pay US$150,000 penalty
- By: IE Staff
- January 30, 2007 January 30, 2007
- 16:35
BCSC settlement helps investors partially recoup money lost in Ponzi scheme
Former pastors persuaded B.C. residents to invest in Amber Enterprises
- By: IE Staff
- January 30, 2007 January 30, 2007
- 13:50
NASD fines Banc of America unit US$3 million for failing to comply with anti-money laundering rules
Firm failed to obtain customer information for certain high-risk accounts
- By: James Langton
- January 29, 2007 January 29, 2007
- 17:10
IMET makes arrest in Pender International case
Mitton facing fraud charges
- By: James Langton
- January 29, 2007 January 29, 2007
- 16:45
IDA to re-write rule book in plain language
Dealers encouraged to comment on draft rules
- By: James Langton
- January 29, 2007 January 29, 2007
- 16:40
Ottawa unveils improvements to application of GST/HST to financial services
Legislation addresses advantages that currently exist in favour of imported financial services over domestic services
- By: IE Staff
- January 29, 2007 January 29, 2007
- 08:15
AMF files 619 charges in Mount Real proceedings
24 individuals facing charges
- By: James Langton
- January 26, 2007 January 26, 2007
- 08:35
SEC extends compliance dates for Regulation NMS
Extension gives automated trading centers more time to rollout new or modified trading systems
- By: James Langton
- January 26, 2007 January 26, 2007
- 08:25