Canadian trader to pay US$1 million for short selling violations
The B.C. trader violated Rule 105 anti-manipulation provisions on nearly a dozen occasions, SEC says
- By: James Langton
- June 9, 2015 December 19, 2017
- 16:20
Latest news in From the Regulators
OSC’s proposed whistleblower program could use tweaking
Most panelists at an OSC roundtable were in favour of the OSC’s proposed program but several raised some potential concerns
- By: James Langton
- June 9, 2015 December 19, 2017
- 14:45
Court dismisses appeals by Northern Securities and its CEO
Regulator’s decisions reasonable, court rules
- By: IE Staff
- June 9, 2015 December 19, 2017
- 10:15
ESMA to examine impact of best practice principles for proxy advisor firms
The European authority is looking for insight into how various players perceive the most recent proxy seasons to have evolved, among other things
- By: James Langton
- June 8, 2015 December 19, 2017
- 13:10
IOSCO report targets use of credit-rating agencies
Institutional investors now have a set of best practices to reduce their reliance on credit-rating agencies
- By: James Langton
- June 8, 2015 December 19, 2017
- 09:35
Basel Committee proposes bank capital rule to cover interest rate risks
Global regulators are concerned about flaws in bank risk modeling
- By: James Langton
- June 8, 2015 December 19, 2017
- 09:00
AMF reports 2014 enforcement activity
Quebec regulator imposed more than $8.7 million in fines and penalties
- By: James Langton
- June 4, 2015 December 19, 2017
- 16:00
Restoring trust in Basel internal ratings-based models will take time: Fitch
Inconsistencies make meaningful comparison of ratios across banks and countries difficult
- By: James Langton
- June 4, 2015 December 19, 2017
- 13:15
OSC seeks members for market structure committee
Regulator looking for candidates with experience from a variety of different perspectives
- By: James Langton
- June 4, 2015 December 19, 2017
- 10:00
B.C. launches review of financial services legislation
Consultation paper outlines issues for discussion
- By: James Langton
- June 4, 2015 December 19, 2017
- 06:50
BCSC alleges woman committed fraud
Australian gave funds to unregistered trader, regulator says
- By: James Langton
- June 3, 2015 December 19, 2017
- 16:00
OSC rules on Ponzi scheme disclosure of evidence
Two parties claiming to be victims of a scheme the OSC investigated are seeking to sue lawyers involved in the case
- By: James Langton
- June 3, 2015 December 19, 2017
- 09:40
OSC charges RESP dealer reps, branch managers
The regulator alleges that the accused purchased stolen personal information in order to market RESP products to new parents
- By: James Langton
- June 2, 2015 December 19, 2017
- 15:15
MFDA bans, fines David Karas
Advisor failed to represent properly or explain adequately the risks associated with leveraged investment recommendations made to 18 clients
- By: Tessie Sanci
- June 2, 2015 December 19, 2017
- 11:50
Amaya confirms AMF conducting investigation
The Quebec regulator has not filed any charges
- By: James Langton
- June 1, 2015 December 19, 2017
- 16:30
Reporting of inter-affiliate derivatives transactions by end-users on hold: OSC
Regulator contemplates possible changes to derivatives reporting rules
- By: James Langton
- June 1, 2015 December 19, 2017
- 15:40
Insurance regulators sign MOU to share industry conduct information
The agreement will result in more consistent handling of consumer complaints, more effective risk surveillance and greater collaboration in addressing market conduct issues
- By: Megan Harman
- June 1, 2015 December 19, 2017
- 14:40
Investors urged to plan for financial decisions as they age
Bulletin aims to help investors understand the potential impact of a diminished ability to make decisions
- By: James Langton
- June 1, 2015 December 19, 2017
- 14:10
FINRA brings transparency to asset-backed securities market
Investors now have access to post-trade price information
- By: James Langton
- June 1, 2015 December 19, 2017
- 13:20
OSC announces agenda for whistleblower roundtable
The roundtable will take place on June 9 in Toronto
- By: James Langton
- June 1, 2015 December 19, 2017
- 09:00
Advance-fee scams target non-U.S. investors: FINRA
Scammers using fake regulator web sites and false broker identities
- By: James Langton
- May 29, 2015 December 19, 2017
- 14:15
BCSC report flags improper use of personal corporations
2015 Compliance Report Card lists top five deficiencies
- By: James Langton
- May 29, 2015 December 19, 2017
- 13:40
Tougher rules for foreign exchange dealers proposed
U.S. proposals designed to minimize major losses
- By: James Langton
- May 29, 2015 December 19, 2017
- 09:50
EU derivatives markets becoming more transparent: ESMA
Harmonized data has been made available since April on open positions, trade volume and values broken down by derivative class, type and trade type
- By: James Langton
- May 29, 2015 December 19, 2017
- 09:00