Retail investor protection top priority for OSC
The Ontario securities regulator has issued a draft of its 2015 priorities
- By: James Langton
- April 2, 2015 December 19, 2017
- 13:15
Latest news in From the Regulators
CSA supports U.S. move to two-day settlement
There is a consensus that the Canadian securities industry will be able to make a smooth transition to T+2 once a date has been set
- By: James Langton
- April 2, 2015 December 19, 2017
- 12:30
Reminder to fund managers on OTC derivatives
OSC releases April 2015 issue of Investment Funds Practitioner
- By: James Langton
- April 2, 2015 December 19, 2017
- 11:25
U.S. firm to pay SEC penalty in whistleblower protection case
Confidentiality provisions have a potential chilling effect on whistleblowers’ willingness to report illegal conduct
- By: James Langton
- April 1, 2015 December 19, 2017
- 16:10
U.S. resident agrees to BCSC sanctions
Women given three-year ban for illegally trading in securities
- By: James Langton
- April 1, 2015 December 19, 2017
- 15:00
Regulation: The new normal
Interconnected global markets and the aftermath of the financial crisis make the current regulatory environment necessary, OSC chief says
- By: Tessie Sanci
- April 1, 2015 December 19, 2017
- 07:10
Misuse of confidential information: OSC
Engineer agrees to 10-year ban
- By: James Langton
- April 1, 2015 December 19, 2017
- 07:00
Unrealistic expectations leave investors vulnerable to fraud
BCSC study finds less than half of those surveyed have a reasonable expectation of annual returns on investments
- By: James Langton
- March 31, 2015 December 19, 2017
- 14:20
CSA proposes changes to take-over bid regime
A proposed 120-day requirement is intended to ensure that boards have enough time to respond to unsolicited take-over bids
- By: James Langton
- March 31, 2015 December 19, 2017
- 12:00
CSA appoints new chairman
The AMF’s Louis Morisset succeeds Bill Rice
- By: James Langton
- March 31, 2015 December 19, 2017
- 10:40
Pre-budget meeting set for April 9
Finance Minister Joe Oliver to meet with private sector economists
- By: Andy Blatchford
- March 30, 2015 December 19, 2017
- 17:30
IIROC proposes stiffer measures on marketplace thresholds
Revised guidance aims to help reduce short-term, unexplained price volatility
- By: James Langton
- March 30, 2015 December 19, 2017
- 14:45
SEC files fraud charges against private equity manager
U.S. regulators allege prominent executive and her investment firms hid poor performance
- By: James Langton
- March 30, 2015 December 19, 2017
- 13:30
Client complaints drop in 2014: IIROC
Third annual enforcement report outlines key enforcement activities
- By: James Langton
- March 30, 2015 December 19, 2017
- 11:30
Boiler room victims targeted in follow-up scam: MSC
Florida company offering to buy Maitland Capital or First Global Ventures S.A. shares
- By: James Langton
- March 27, 2015 December 19, 2017
- 09:00
SCC denies ASC’s leave to appeal insider trading case
Regulator sought guidance on the standard of proof and evidence required to prove illegal insider trading allegations
- By: James Langton
- March 26, 2015 December 19, 2017
- 14:45
CSA exempts U.S. broker-dealers, advisers
No registration necessary for employees working in Canada serving U.S. clients
- By: James Langton
- March 26, 2015 December 19, 2017
- 11:00
SEC adopts, proposes new rules
Revised exemption will allow smaller companies to sell up to US$50 million of securities in a 12-month period
- By: James Langton
- March 25, 2015 December 19, 2017
- 13:50
Lawyer tipped advisor on M&A deals: OSC
Information passed on to brokers in three of six cases, panel finds
- By: James Langton
- March 25, 2015 December 19, 2017
- 10:30
FCA proposes an end to opt-out selling
The UK ban would apply to any add-on sales of regulated or unregulated products offered alongside financial primary products
- By: James Langton
- March 25, 2015 December 19, 2017
- 09:00
Mortgage insurer exercising ‘heightened vigilance’ in Alberta
Genworth making changes to underwriting practices
- By: Alexandra Posadzki
- March 24, 2015 December 19, 2017
- 15:15
FSCO issues consumer warning
Titan Equity not licensed to conduct syndicated mortgage brokering business in Ontario
- By: IE Staff
- March 24, 2015 December 19, 2017
- 14:25
Insufficient cyber security an increasing threat to financial information
Investors urged to discuss security with financial firms
- By: James Langton
- March 24, 2015 December 19, 2017
- 10:40
ESMA issues draft guidelines on complex debt and deposit products
Proposals intended to enhance investor protection
- By: James Langton
- March 24, 2015 December 19, 2017
- 09:50