MFDA amends rule concerning calculation of risk adjusted capital
Amendments require members to maintain positive financial statement capital
- By: James Langton
- December 1, 2006 December 1, 2006
- 15:50
Latest news in From the Regulators
NBSC honoured at Canadian Investment Awards
Regulators’s Fostering Capital Markets recognized as Best New Initiative
- By: James Langton
- December 1, 2006 December 1, 2006
- 10:10
MX fines options trader
Abarbanel fined $15,000 for manipulative trading
- By: IE Staff
- November 30, 2006 November 30, 2006
- 15:45
Compliance an integral part of business activities, regulators say
SROs issue joint notice on compliance
- By: James Walker
- November 30, 2006 November 30, 2006
- 13:15
U.S. panel seeks to reduce burden of litigation
Warns of danger in falling behind best practices in shareholder rights
- By: James Langton
- November 30, 2006 November 30, 2006
- 12:55
FSA will not use XBRL
But Britain’s main regulator will continue to monitor the development of the popular reporting language
- By: James Langton
- November 29, 2006 November 29, 2006
- 16:51
U.S. securities regulators to merge
NASAA supports consolidation
- November 29, 2006 November 29, 2006
- 11:28
Ontario Mortgage Brokers Act passes third reading
The Ontario legislature moved improve consumer protection with the successful third reading of the Mortgage Brokerages, Lenders and Administrators Act, 2006.“Obtaining a mortgage to buy…
- By: IE Staff
- November 28, 2006 November 28, 2006
- 15:10
NASD, NYSE unveil plan to consolidate regulation of securities firms
Single organization will eliminate overlapping regulation and reduce costs to industry
- By: James Langton
- November 28, 2006 November 28, 2006
- 10:10
Revisions made to Minimum Continuing Capital and Surplus Requirements for life insurance companies
New accounting standards will be coming into effect after fiscal year-end 2006
- By: James Langton
- November 27, 2006 November 27, 2006
- 17:30
Flaherty proposes modest changes to financial services laws
Proposed legislation will modernize regulations, cut red tape
- By: James Langton
- November 27, 2006 November 27, 2006
- 16:10
Finance minister to join online chat
Flaherty to discuss government’s economic plan
- By: IE Staff
- November 27, 2006 November 27, 2006
- 15:20
Scotiabank opens new Shanghai bank branch
Scotia will celebrate its 25 anniversary in China in May 2007
- By: IE Staff
- November 27, 2006 November 27, 2006
- 13:10
Ontario releases draft of regulations for mortgage brokers
Comments due by Jan. 19, 2007
- By: James Langton
- November 27, 2006 November 27, 2006
- 09:55
Next stage of passport system will enhance market access across Canada, ministers say
Most provinces committed to getting their legislation in place
- By: James Langton
- November 27, 2006 November 27, 2006
- 09:50
OSC looking to fill vacancies on Small Business Advisory Committee
Applications due by December 22
- By: IE Staff
- November 26, 2006 November 26, 2006
- 14:50
FSA sets out costs and benefits of Markets in Financial Instruments Directive
Implementation of MIFID could cost as much as £1 billion
- By: James Langton
- November 24, 2006 November 24, 2006
- 10:20
Saskatchewan regulator issues notice on privacy legislation
Notice details how privacy legislation relates to securities law
- By: James Langton
- November 23, 2006 November 23, 2006
- 10:50
Saskatchewan securities amendments given second reading
Changes would help implement passport system of regulation
- By: James Langton
- November 23, 2006 November 23, 2006
- 10:40
Former Bennett Environmental CEO reaches tentative deal with OSC
Settlement to be considered at a hearing next week
- By: IE Staff
- November 22, 2006 November 22, 2006
- 15:50
IDA dismisses appeal by former Rampart broker
Sanctions imposed upon Katmarian were reasonable
- By: IE Staff
- November 22, 2006 November 22, 2006
- 11:30
Suspicious Vancouver investment scheme prompts warning from BCSC
Regulator worried about possible Ponzi scheme
- By: IE Staff
- November 21, 2006 November 21, 2006
- 14:20
IDA OKs use of alternative approach for calculating capital requirements for private placements
New approach properly reflects the lower risk associated with private placements of four-month restricted securities during the underwriting distribution period
- By: IE Staff
- November 21, 2006 November 21, 2006
- 11:10
ASC orders market bans and fines
$240,000 in sanctions and costs for illegal distribution of securities
- By: IE Staff
- November 20, 2006 November 20, 2006
- 11:45