Regulation

Industry

IIROC shuts down Barret Capital Management

Preferential treatment of some clients gets two reps banned for 20 years, with fines totally $225,000.

By Staff |February 13, 2012

2 min read

Industry

Pre-signed forms cost advisor $10,000

MFDA hearing panel accepts settlement agreement, including $7,500 fine and $2,500 in costs.

By Staff |February 13, 2012

1 min read

Industry

CSA proposes OTC derivatives rules

The Canadian Securities Administrators (CSA) have are calling for comment on a proposed regulatory changes covering the derivatives.

By Staff |February 10, 2012

1 min read

Industry

UK regulators toughen up

Regulators in Britain, much like their Canadian counterparts, are considered much less aggressive than American regulators when it comes to sentencing for crimes such as insider trading, bribery and white-collar fraud.

February 6, 2012

1 min read

Industry

The danger of the pre-audit heads-up

Only a month into 2012, the delegation of compliance duties is already becoming an issue with Wall Street regulators.

February 2, 2012

2 min read

Industry

Mortgage clampdown is positive

Canada’s banking regulators are putting the screws to lending practices they see as risky—particularly in the bubble condo markets that are forming in Toronto and Vancouver. And that's a good thing.

By Philip Porado |February 1, 2012

3 min read

Industry

Regulators set rules for ratings agencies

The Canadian Securities Administrators announced today the adoption of National Instrument 25-101 Designated Rating Organizations, which will impose requirements on credit rating organizations wishing to have their credit ratings eligible for use in securities legislation.

By Staff |January 27, 2012

2 min read

Industry

Requiem for a regulator

In March 2007, the federal government proposed the creation of a national securities regulator. As is so often the case in Canada, the idea was studied, Constitutional challenges were launched, and the good idea died a long torturous death.

By Staff |January 27, 2012

3 min read

Industry

A case for looser regulation

As Canada steps away from a national securities regulator behind it, there’s a constant stream of criticism of America’s SEC. Perhaps there’s an argument for looser regulation?

By Staff |January 27, 2012

1 min read

Industry

UK will protect ‘irrational’ investors

Martin Wheatley, head of the UK’s new consumer protection watchdog, has major concerns about the current quality of bank advice. He believes that investors cannot be counted on to make rational choices, and that regulators need to step up in order to protect them.

January 25, 2012

1 min read

← Previous 1 … 99 100 101 102 Next →