OSC outlines five key goals for 2006
Enforcement is regulator’s top priority
- By: James Langton
- March 27, 2006 March 27, 2006
- 08:25
Latest news in From the Regulators
OSC outlines five key goals for 2006
RS panel to consider settlements with CIBC Wood Gundy reps
Hearing scheduled for Calgary
- By: IE Staff
- March 24, 2006 March 24, 2006
- 11:20
BCSC releases MFDA audit results
Regulator concludes 2005 oversight review
- By: IE Staff
- March 24, 2006 March 24, 2006
- 10:50
NSSC settles with former Knowledge House director
Colpitts failed to uncover improper trading by insiders
- By: James Langton
- March 23, 2006 March 23, 2006
- 16:40
Norbourg head accused of trying to bribe AFM employee
Regulator suspends eight employees
- By: James Langton
- March 23, 2006 March 23, 2006
- 10:35
FSA publishes feedback on hedge fund risks
Regulator to extend rage of retail investment products to include hedge funds
- By: IE Staff
- March 23, 2006 March 23, 2006
- 10:20
OECD calls for new approach to managing pension fund assets
Funds need more flexibility to make investment choices
- By: James Langton
- March 23, 2006 March 23, 2006
- 10:10
OSC issues warning on ‘double-dip’ investment schemes
Research is the best defence against fraud
- By: IE Staff
- March 22, 2006 March 22, 2006
- 11:30
WTO’s financial services negotiations progressing
Securities industry trade associations around the globe continue to push countries to liberalize trade in financial services trade under the auspices of the World Trade…
- By: James Langton
- March 21, 2006 March 21, 2006
- 16:45
IDA terminates LVM Canada’s membership
Quebec firm fined $13,921
- By: IE Staff
- March 21, 2006 March 21, 2006
- 14:45
SEC charges more traders in “squawk box” case
Traders accused of front-running institutional orders
- By: James Langton
- March 21, 2006 March 21, 2006
- 12:20
FSA proposes funding options for contingency funds
Discussion paper presents four options
- By: James Langton
- March 21, 2006 March 21, 2006
- 11:40
BCSC sanctions offshore companies
Corporate Express group illegally sold securities to B.C. investors
- By: IE Staff
- March 21, 2006 March 21, 2006
- 10:50
NBSC supports upcoming Atlantic Angel Summit
April event designed to support capital market development
- By: James Langton
- March 21, 2006 March 21, 2006
- 09:30
OFSI issues warning on possible flu pandemic
Asks industry associations to report on preparedness initiatives
- By: IE Staff
- March 20, 2006 March 20, 2006
- 17:30
Quebec appeal court upholds Genecan decision
Revenue Quebec ordered to pay $1 million
- By: IE Staff
- March 20, 2006 March 20, 2006
- 14:40
AMF ready to receive consumer complaints
Companies must file with Complaint Reporting System
- By: James Langton
- March 20, 2006 March 20, 2006
- 11:45
EU looking to improve M&A approval process
Seeks input form from financial services industry
- By: James Langton
- March 17, 2006 March 17, 2006
- 15:40
OSC approves changes to IDA branch manager rules
IDA revamps proficiency requirement for managers of non-retail branches
- By: James Langton
- March 17, 2006 March 17, 2006
- 15:30
Regulators solicit proposals for electronic audit system
Decision on TREATS coming in July
- By: James Langton
- March 17, 2006 March 17, 2006
- 13:15
FSA measures market abuse
Study suggests the effectiveness of visible enforcement action
- By: James Langton
- March 17, 2006 March 17, 2006
- 09:30
U.S. regulators urge preparedness for possible flu pandemic
Alert issued for financial institutions
- By: IE Staff
- March 16, 2006 March 16, 2006
- 12:15
Bear Stearns fined US$250 million for market timing
Firm settles with SEC, NYSE
- By: James Langton
- March 16, 2006 March 16, 2006
- 11:40
NASD fines Merrill Lynch $5 Million for supervisory failures
Call centre sales contests prohibited for three years
- By: James Langton
- March 15, 2006 March 15, 2006
- 17:10
SEC, FSA sign regulatory co-operation arrangement
Regulators agree to exchange confidential supervisory information
- By: James Langton
- March 14, 2006 March 14, 2006
- 16:50