BCSC imposes sanctions worth $28.8M in manipulative trading case
Respondents banned from B.C. capital markets for role in OSE Corp. scheme
- By: The Canadian Press
- March 18, 2015 December 19, 2017
- 14:10
Latest news in From the Regulators
Australian regulators increasing use of behavioural economics
Experiments provide valuable insights into how people make decisions
- By: James Langton
- March 18, 2015 December 19, 2017
- 13:45
CSA tells investors to check advisors’ registration
Regulator has online search tool for investors wanting to check firms and advisors
- By: Tessie Sanci
- March 18, 2015 December 19, 2017
- 13:15
OSFI cool to bank stress tests
Rudin explains why OSFI has not subjected Canadian banks have to public stress tests
- By: James Langton
- March 17, 2015 December 19, 2017
- 13:40
FCA bans banker over LIBOR fixing
This is the British regulators first enforcement action against an individual trader for manipulating LIBOR submissions
- By: James Langton
- March 17, 2015 December 19, 2017
- 08:30
Former CEO agrees to five-year ban
OSC finds HydraLogic violated cease trade order
- By: James Langton
- March 16, 2015 December 19, 2017
- 14:30
IIROC granted 616 exemptions in 2014
The vast majority of exemptions concerned proficiency requirements
- By: James Langton
- March 16, 2015 December 19, 2017
- 11:50
FCA fleshes out new personal accountability regime
Policies will make it easier for banks and regulators to hold senior managers to account
- By: James Langton
- March 16, 2015 December 19, 2017
- 10:15
ASC announces reciprocal bans
Permanent bans imposed on three Swiss firms
- By: James Langton
- March 16, 2015 December 19, 2017
- 06:50
Financial fraud victims vulnerable to depression
Report outlines non-traditional costs of fraud
- By: James Langton
- March 13, 2015 December 19, 2017
- 12:00
UK regulator sets out final guidance on social media
FCA says communications must be fair, clear and not misleading
- By: James Langton
- March 13, 2015 December 19, 2017
- 10:00
IIROC encouraging investors to do their research
The self-regulatory organization is promoting its online educational resources during Fraud Prevention Month
- By: Tessie Sanci
- March 10, 2015 December 19, 2017
- 12:45
Investor protection measures continue to languish
OSC’s Investor Advisory Panel releases annual report
- By: IE Staff
- March 10, 2015 December 19, 2017
- 10:30
MFDA launches online fraud awareness quiz
Canadian investors can test their fraud awareness knowledge
- By: IE Staff
- March 10, 2015 December 19, 2017
- 09:25
OSC imposes sanctions in Rare Investments scheme
Penalties and disgorgement total more than $1.7 million
- By: IE Staff
- March 9, 2015 December 19, 2017
- 11:50
Former rep’s appeal dismissed by OSC
Two-year suspension stands
- By: IE Staff
- March 9, 2015 December 19, 2017
- 10:15
U.S. authorities arrest venture capital firm owner
State attorney lays three charges against Gregory Gray for alleged Ponzi-like scheme
- By: James Langton
- March 6, 2015 December 19, 2017
- 18:25
ASC settles charges with family members
The three respondents admit to breaching securities rules
- By: James Langton
- March 6, 2015 December 19, 2017
- 17:20
IIROC report finds new rules for dark markets have had little impact
Nevertheless, the report finds that HFTs reduced their provision of liquidity in dark trading venues significantly after the rule change
- By: James Langton
- March 6, 2015 December 19, 2017
- 13:55
U.S. Fed’s stress tests find stronger banks
Federal Reserve Board looks at biggest banks’ capital positions
- By: James Langton
- March 6, 2015 December 19, 2017
- 09:55
Consumers overly optimistic about structured products
British regulator says more needs to be done to protect investors
- By: James Langton
- March 5, 2015 December 19, 2017
- 15:10
Regulators aim to identify systemically important firms
Proposed methodologies focus in on financial services firms other than banks and insurers such as brokerages and asset managers
- By: James Langton
- March 4, 2015 December 19, 2017
- 10:55
SEC hands out another whistleblower award
This is the first time a corporate officer will receive the payout reward
- By: James Langton
- March 3, 2015 December 19, 2017
- 14:55
Global banks on track to meet requirements
Basel Committee report says institutions closing gap on capital adequacy standards
- By: James Langton
- March 3, 2015 December 19, 2017
- 12:25