EU and U.S. set priorities for future cooperation on financial markets regulation
Regulators pledge to work together to find common solutions
- By: James Langton
- December 2, 2005 December 2, 2005
- 10:10
Latest news in From the Regulators
NYSE Regulation introduces new arbitrator selection procedure
Random, computerized selection process gains approval
- By: IE Staff
- December 1, 2005 December 1, 2005
- 16:45
Ontario proposes Securities Transfer Act
Bill brings security transfer rules into electronic age
- By: James Langton
- December 1, 2005 December 1, 2005
- 16:15
Hedge fund settles market-timing case
Millennium Partners to pay $US121.4 million
- By: James Langton
- December 1, 2005 December 1, 2005
- 12:50
Mutual funds salesperson settles with BCSC
Foresight Capital rep breached know your client and suitability rules
- By: IE Staff
- December 1, 2005 December 1, 2005
- 11:20
Minneapolis investment firm settles with regulators
Ameriprise fined for market timing, directed brokerage violations
- By: James Langton
- December 1, 2005 December 1, 2005
- 11:20
Basel Committee issues guidance on credit risk assessment and valuation for loans
OSFI encourages banks to review paper
- By: James Langton
- November 30, 2005 November 30, 2005
- 11:45
Former Philip Services officer settles with OSC
The first former executive of Philip Services Corp. has settled with the Ontario Securities Commission, agreeing to pay costs of $50,000 and testify against other…
- By: IE Staff
- November 30, 2005 November 30, 2005
- 08:20
SEC proposes new proxy delivery rule
The U.S. Securities and Exchange Commission voted to propose rules that would allow companies to use the Internet to satisfy proxy material delivery requirements.Under current…
- By: James Langton
- November 29, 2005 November 29, 2005
- 16:10
NASD charges Kirlin with manipulating stock
Brokerage engaged in scheme to avoid delisting of parent company
- By: James Langton
- November 29, 2005 November 29, 2005
- 12:10
Ottawa passes legislation protecting bankrupt RRSP holders from creditors
Legislation will not come into force until mid-2006 to allow Senate to make further amendments
- By: Stewart Lewis
- November 29, 2005 November 29, 2005
- 11:25
OSC announces membership of Investor Advisory Committee
Members to serve two-year terms
- By: IE Staff
- November 29, 2005 November 29, 2005
- 11:20
UK regulator holds business continuity test
1,000 people, 80 firms take part
- By: James Langton
- November 29, 2005 November 29, 2005
- 08:30
Federated Investors settles market timing charges
Fund company to pay US$35 million in restitution
- By: James Langton
- November 28, 2005 November 28, 2005
- 16:35
OSC appeals Rankin sentence
Regulator calls six-month sentence “demonstrably unfit”
- By: IE Staff
- November 28, 2005 November 28, 2005
- 08:10
CSA releases list of questions about investment fund disclosure rules
FAQ designed to assist fund companies
- By: James Langton
- November 25, 2005 November 25, 2005
- 15:35
IDA bans Calgary broker for life
Research Capital rep fined $40,000
- By: IE Staff
- November 24, 2005 November 24, 2005
- 12:40
Vancouver broker fined $25,000
IDA suspends Boscoe for unprofessional conduct
- By: IE Staff
- November 24, 2005 November 24, 2005
- 11:15
Income trust decision announced by Goodale
Feds to cut dividend tax rates, resume rulings on trust conversions
- By: James Langton
- November 23, 2005 November 23, 2005
- 18:10
More firms added to Mount Real freeze order
Move designed to protect investors, Quebec regulators say
- By: IE Staff
- November 23, 2005 November 23, 2005
- 16:25
Saskatchewan regulator to get additional powers
Securities Amendment Act given first reading
- By: James Langton
- November 23, 2005 November 23, 2005
- 16:15
NASD fines State Street US$1.4 million for bond trade reporting violations
Largest fine to date for fixed income trade reporting violations
- By: James Langton
- November 22, 2005 November 22, 2005
- 16:40
SEC looking to update EDGAR filing system
Regulator looking for software partners to make information interactive
- By: James Langton
- November 22, 2005 November 22, 2005
- 16:30
AMF head discusses regulatory measures for P&C industry
New rules to focus on disclosure of ties between brokers and insurers
- By: James Langton
- November 22, 2005 November 22, 2005
- 11:10
U.S. regulator investigating possible SRO for futures industry
CFTC seeking public comment on range of SRO issues
- By: James Langton
- November 21, 2005 November 21, 2005
- 16:35