Exemption reforms strengthen investor protection: CSA
Amendments adopted for AI, MA and short-term debt prospectus exemptions
- By: James Langton
- February 19, 2015 December 19, 2017
- 12:30
Latest news in From the Regulators
CSA levied more than $58M in fines and penalties in 2014
Illegal distributions remain the biggest violation that regulators are confronting
- By: James Langton
- February 19, 2015 December 19, 2017
- 11:45
FCA to investigate competition in investment banking
There are unanswered questions about potential conflicts of interest and value for money, UK regulator says
- By: James Langton
- February 19, 2015 December 19, 2017
- 09:45
FCA warns investment managers over insider trading controls
Only a small number of firms have comprehensive controls
- By: James Langton
- February 18, 2015 December 19, 2017
- 10:40
OSC permanently bans fund manager
Juniper Fund Management, CEO committed numerous violations
- By: James Langton
- February 13, 2015 December 19, 2017
- 17:00
Global regulators meet in Seoul
The IOSCO board meeting included a roundtable on the impact technological innovation on financial markets
- By: James Langton
- February 13, 2015 December 19, 2017
- 16:00
BCSC extends registration exemption for MIEs
Requirement to register pushed back to Dec. 31, 2016
- By: James Langton
- February 13, 2015 December 19, 2017
- 15:15
Bitcoin licence, please
Virtual currency ATMs and trading platforms must be authorized, AMF says
- By: James Langton
- February 13, 2015 December 19, 2017
- 12:10
FCNB issues cease trade order against alleged boiler room
The regulator began its investigation after receiving complaints from investors
- By: James Langton
- February 13, 2015 December 19, 2017
- 11:00
BCSC panel finds developer committed fraud
Funds diverted from companies for personal expenses
- By: James Langton
- February 12, 2015 December 19, 2017
- 16:00
Dealer CEO traded on inside information: OSC
Executive assistant tipped associates, family members
- By: James Langton
- February 12, 2015 December 19, 2017
- 15:00
OSC delays transaction-level reporting of OTC derivatives
The added time will give OSC staff more time to develop a mechanism for public disclosure
- By: James Langton
- February 12, 2015 December 19, 2017
- 14:00
Alternative funds framework coming by year’s end
CSA provides update on the regulation of alternative investment funds
- By: James Langton
- February 12, 2015 November 7, 2018
- 13:30
CSA proposes clearing rule
Mandatory clearing of OTC derivatives intended to improve transparency
- By: James Langton
- February 12, 2015 December 19, 2017
- 12:00
Improving odd-lot liquidity
Odd-lot orders would not bet required to receive a better price when trading against a dark order: IIROC
- By: James Langton
- February 12, 2015 December 19, 2017
- 09:40
FINRA hires analytics head
New unit to focus on improving how the U.S. watchdog analyzes and uses data
- By: James Langton
- February 11, 2015 December 19, 2017
- 14:00
Former Winnipeg advisor fined $100,000
High risk, speculative securities recommended to pensioners
- By: IE Staff
- February 11, 2015 December 19, 2017
- 11:20
SEC charges former brokerage CEO in ‘fraudulent scheme’
Craig Lax agrees to pay more than US$783,000 and to be barred from the securities industry for at least five years
- By: James Langton
- February 11, 2015 December 19, 2017
- 08:00
OSC approves Ontario Wealth Mgmt. settlement
2013 compliance review uncovered “significant deficiencies
- By: James Langton
- February 9, 2015 December 19, 2017
- 16:15
Couple sanctioned for breaching OSC cease trade order
Man sentenced to jail, woman fined
- February 9, 2015 December 19, 2017
- 16:00
IIROC updates Client Relationship Model FAQ
Pre-trade disclosure of charges does not apply seg fund trades
- By: James Langton
- February 9, 2015 December 19, 2017
- 15:00
SEC proposes rules for hedging disclosure
The aim is to provide investors with additional information about companies’ governance practices
- By: James Langton
- February 9, 2015 December 19, 2017
- 14:00
Insurers too complacent about cybersecurity: report
New York to introduce regular assessment of preparedness at insurance companies
- By: James Langton
- February 9, 2015 December 19, 2017
- 10:20
SEC, Big Four accounting firms settle China dispute
Firms agree to pay US$500,000 each
- February 6, 2015 December 19, 2017
- 17:10
Ex Red Deer advisor admits KYC, suitability failings
Former Alberta rep fined $75,000 by IIROC
- By: IE Staff
- February 6, 2015 December 19, 2017
- 14:00