OSC approves amendments to IDA capital requirements rules
Changes allow for an alternative method of determining capital requirements
- By: James Langton
- September 8, 2006 September 8, 2006
- 15:30
Latest news in From the Regulators
ASC fees to jump by 20%
Registrant fee to rise by $50 over three years
- By: James Langton
- September 7, 2006 September 7, 2006
- 16:10
SEC issues investor warning on oil and gas scams
Alleges promoters fraudulently raised US$2.2 million
- By: James Langton
- September 5, 2006 September 5, 2006
- 15:41
NASD fines Morgan Stanley firms US$2.9 million for rule violations
Scope of violations indicate extensive reporting problems, regulator says
- By: James Langton
- September 5, 2006 September 5, 2006
- 15:25
U.S. regulators seek comment on Basel II rules
Proposed framework would be mandatory for large, internationally active banking organizations
- By: James Langton
- September 5, 2006 September 5, 2006
- 12:30
Increased appetite for fixed income products among retail investors poses challenges
Regulators must address poor transparency and low investment knowledge: report
- By: James Langton
- August 31, 2006 August 31, 2006
- 15:30
FSCO seeks comments on training for mortgage brokers
Consultations aimed at helping finalize regulatory proposals
- By: James Langton
- August 31, 2006 August 31, 2006
- 14:50
NASD rules AFD violated rules, fines company US$5 million
But panel rejects NASD Enforcement's call for sanctions in the amount of the total directed brokerage payments
- By: James Langton
- August 30, 2006 August 30, 2006
- 15:50
IDA to devote more attention to complaints from retail investors: report
Regulator mulling over restitution following misconduct
- By: James Langton
- August 29, 2006 August 29, 2006
- 15:40
BDRVM issues freeze order at AMF’s requests
Respondents distributed loan agreements without obtaining a receipt from the AMF
- By: IE Staff
- August 28, 2006 August 28, 2006
- 15:58
Saskatchewan regulator issues cease trade order against two firm
The Securities Division of the Saskatchewan Financial Services Commission has issued a temporary cease trade order against a couple of firms that it claims has…
- By: James Langton
- August 28, 2006 August 28, 2006
- 15:45
U.S. regulators settle US$600 million case with Prudential Equity Group
SEC also files unsettled civil injunctive action against several former Prudential registered reps
- By: James Langton
- August 28, 2006 August 28, 2006
- 14:02
New ComSet system to be ready soon
Core functions will remain the same but there will be some new capabilities
- By: James Langton
- August 28, 2006 August 28, 2006
- 07:21
Regulators seek comment on investor protection rule
Instrument designed to provide harmonization, opportunity to make minor enhancements and consequential amendments
- By: James Langton
- August 25, 2006 August 25, 2006
- 13:41
Regulators approve Basic Market Rate Methodology
IDA will use methodology to determine margin rates for certain equity securities listed in Canadian and U.S. markets
- By: James Langton
- August 25, 2006 August 25, 2006
- 13:36
IDA calls proposed new derivatives regulation proposal “promising”
AMF paper proposed principles-based regime earlier this year
- By: James Langton
- August 24, 2006 August 24, 2006
- 16:12
Former broker fined $86,720 for tax evasion
Quebec man failed to report $498,000 of income
- By: IE Staff
- August 23, 2006 August 23, 2006
- 10:45
IDA panel dismisses motion filed by former B.C. rep
Regulator has jurisdiction over former approved persons, panel finds
- By: IE Staff
- August 21, 2006 August 21, 2006
- 15:30
IDA issues reminder on improper sales practices
CNQ seeking approval to repeal Rule 10
- By: IE Staff
- August 21, 2006 August 21, 2006
- 10:10
ASC reports loss for Q1
Loss significantly less than targeted by provincial budget
- By: James Langton
- August 14, 2006 August 14, 2006
- 07:50
NASD fines Citigroup US$400,000
Citigroup also ordered to review its policies, systems, procedures and training relating to sales charge waivers in mutual fund transactions
- By: James Langton
- August 10, 2006 August 10, 2006
- 15:31
AMF urges financial sector to plan for flu pandemic
Issues guide to help institutions prepare
- By: James Langton
- August 9, 2006 August 9, 2006
- 15:10
SEC offers further relief from SOX compliance for smaller companies, foreign private Issuers
Regulator pushes back initial compliance date
- By: James Langton
- August 9, 2006 August 9, 2006
- 14:10
NASD fines four ING broker-dealers US$7 million
Brokerages used directed brokerage commissions as incentives
- By: James Langton
- August 9, 2006 August 9, 2006
- 10:40