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
Latest news in From the Regulators
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
ASC serves java during Fraud Prevention Month
Commission uses pop-up coffee shop to teach investors how to avoid fraud
- By: Tessie Sanci
- March 3, 2015 December 19, 2017
- 11:30
CSA talking about fraud prevention
Investors are encouraged to check financial advisors' registration
- By: Tessie Sanci
- March 2, 2015 December 19, 2017
- 17:15
SEC suspends trading in dormant companies
Operation Shell-Expel aims to thwart microcap fraud
- By: James Langton
- March 2, 2015 December 19, 2017
- 16:10
OSC launches fewer enforcement cases
Monetary penalties and courtroom activity increase
- By: James Langton
- March 2, 2015 December 19, 2017
- 15:35
RCMP unit moves in with OSC
RCMP officers investigating major market fraud cases will work even more closely with Ontario securities regulator
- By: James Langton
- March 2, 2015 December 19, 2017
- 15:15