Profit slips at Xceed in Q3
New competitors in the non-traditional mortgage market pose a challenge
- By: IE Staff
- September 14, 2006 September 14, 2006
- 08:50
Latest news in From the Regulators
Hasley named vice chairman of OSFI audit committee
Appointment of independent member demonstrates strong commitment to ensuring the highest levels of governance
- By: James Langton
- September 13, 2006 September 13, 2006
- 15:50
Ontario seeks input on prudent portfolio investment rules
Will consult with insurers and fraternal societies
- By: James Langton
- September 13, 2006 September 13, 2006
- 14:30
BCSC dismisses allegations against Pacific International
BCSC chairman Doug Hyndman calls the case a "precedent-setting" one for the commission
- By: IE Staff
- September 13, 2006 September 13, 2006
- 10:20
Fund managers more optimistic on economy: survey
Fed decision soothed fears of inflation
- By: James Langton
- September 13, 2006 September 13, 2006
- 09:25
NYSE fines five firms for rule violations
J.P. Morgan Securities; Citigroup Global Markets; Wachovia Capital Markets LLC; Wachovia Securities LLC; and First Clearing LLC
- By: James Langton
- September 13, 2006 September 13, 2006
- 09:10
UK regulator granted veto power over stock exchange rules
Move designed to address possible foreign takeover of London Stock Exchange
- By: James Langton
- September 13, 2006 September 13, 2006
- 08:30
ASC surveying dealers on registration reform
The Alberta Securities Commission is conducting an online survey of securities dealers as part of the registration reform project.The ASC notes that it is participating…
- By: James Langton
- September 12, 2006 September 12, 2006
- 16:10
U.S. securities industry forms new committee on capital markets regulation
The Committee on Capital Markets Regulation will conduct a story on how to improve U.S. public market competitiveness
- By: James Langton
- September 12, 2006 September 12, 2006
- 15:43
SEC settles with money managers
Regulator says firms charged advisory fees based on methods that did not comply with the rules
- By: James Langton
- September 8, 2006 September 8, 2006
- 15:40
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
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