European regulators open dialogue with credit rating agencies
CESR to review proposed code of conduct
- By: IE Staff
- December 13, 2005 December 13, 2005
- 17:10
Latest news in From the Regulators
IDA fines Calgary broker $10,000
Canaccord rep forged client’s signature
- By: IE Staff
- December 13, 2005 December 13, 2005
- 13:55
Chicago dealer fined for failing to enforce trading limits
Deceptive market timing “unfair and harmful” to mutual fund shareholders
- By: James Langton
- December 13, 2005 December 13, 2005
- 12:55
Warning over new “pump and dump” scheme
Text messages being used to hype stocks, warns NASD
- By: James Langton
- December 13, 2005 December 13, 2005
- 12:45
Regulators issue new guidance on continuous disclosure for smaller firms
CSA notice summarizes most common deficiencies
- By: IE Staff
- December 13, 2005 December 13, 2005
- 10:10
Regulators issue warning to seniors
Credentials of “senior specialists” may be suspect
- By: James Langton
- December 12, 2005 December 12, 2005
- 16:20
CIBC World Markets settles with SEC
Dealer fined for violating rules on political contributions
- By: James Langton
- December 12, 2005 December 12, 2005
- 15:35
CSA finds problems with continuous disclosure
Highlights common deficiencies among small issuers
- By: James Langton
- December 9, 2005 December 9, 2005
- 17:20
AMF lays insider trading charges
Begins proceedings against Ressouces Allican director
- By: James Langton
- December 9, 2005 December 9, 2005
- 10:25
Crawford Panel proposes new model for a single regulator
Council of Ministers would select board of directors, vote on rules
- By: James Langton
- December 7, 2005 December 7, 2005
- 16:10
Saskatchewan postpones deposit agent regulation
Rule would require intermediaries who trade in GICs to be registered
- By: James Langton
- December 6, 2005 December 6, 2005
- 17:10
ASC extends denial of exemptions order against Arbour Energy
Regulators allege misleading documents used to solicit investments
- By: IE Staff
- December 6, 2005 December 6, 2005
- 12:55
RS picks academic to join Rules Advisory Committee
Concordia prof to represent retail investor perspective
- By: IE Staff
- December 5, 2005 December 5, 2005
- 14:45
EU unveils five-year financial services strategy
The European Commission today presented its new financial services strategy for the next five years, calling for greater convergence in rules and more competition, particularly…
- By: James Langton
- December 5, 2005 December 5, 2005
- 12:35
Securities regulators to make SEDI more user friendly
Users encouraged to participate in survey
- By: IE Staff
- December 5, 2005 December 5, 2005
- 10:20
New model for single securities regulator
Ontario panel to reveal plan
- By: James Langton
- December 2, 2005 December 2, 2005
- 14:35
Quebec regulator receives bids for iForum Securities
IDA suspends securities firm
- By: James Langton
- December 2, 2005 December 2, 2005
- 12:50
FSA sets out road map for principals-based regulation
UK regulator unveils action plan
- By: James Langton
- December 2, 2005 December 2, 2005
- 10:20
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
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