Informed investors ask about cybersecurity: NASAA
Investors should question what steps firms are taking to safeguard client information
- By: James Langton
- January 28, 2015 December 19, 2017
- 11:35
Latest news in From the Regulators
Basel Committee aims to make banks’ disclosures of risk-weighted assets comparable
Revised disclosure framework represents an important shift
- By: James Langton
- January 28, 2015 December 19, 2017
- 09:50
IIROC signals compliance priorities
Report highlights shortcomings with relationship disclosure documents
- By: James Langton
- January 27, 2015 December 19, 2017
- 12:30
Former advisor fined $200,000
Ex Calgary rep banned from IIROC approval for five years
- By: IE Staff
- January 27, 2015 December 19, 2017
- 10:30
ASC investigative provisions ruled constitutional
Regulator can compel information and share it with other authorities
- By: James Langton
- January 26, 2015 December 19, 2017
- 15:30
REIT disclosure raises concerns: OSC
Cases where distributions to investors exceed the cash generated by operations flagged in OSC review
- By: James Langton
- January 26, 2015 December 19, 2017
- 12:00
Ex advisor fined $115,000
Unnecessary redemptions, personal financial dealings result in sanctions
- By: Fiona Collie
- January 26, 2015 December 19, 2017
- 11:35
Former Edmonton rep fined $70,000
IIROC panel finds rep made unsuitable recommendations, unauthorized trades
- By: Fiona Collie
- January 22, 2015 December 19, 2017
- 16:30
FINRA called on to release more arbitration data
Nine U.S. investor and consumer groups urge improved transparency about mandatory arbitration for investors
- By: James Langton
- January 22, 2015 December 19, 2017
- 14:40
Five more provinces to join derivatives reporting regime
The goal is to improve transparency and regulatory oversight of the OTC derivatives markets
- By: James Langton
- January 21, 2015 December 19, 2017
- 15:20
BCSC fines former notary public $33 million
Panel orders permanent market ban for fraud
- By: James Langton
- January 21, 2015 December 19, 2017
- 14:50
Regulators weigh in on syndicated mortgages
Fund dealers that sell the securities must also be licensed as mortgage brokerages
- By: James Langton
- January 21, 2015 December 19, 2017
- 13:00
Former broker lied to regulators: BCSC
Panel dismisses insider trading charge
- By: James Langton
- January 20, 2015 December 19, 2017
- 14:45
CSA approves final IIROC CRM2 amendments
IIROC says its requirements to report fees and performance are generally consistent with the CSA’s CRM2 amendments
- By: James Langton
- January 19, 2015 December 19, 2017
- 14:00
Investors Group launches two funds
Investors U.S. Dividend Registered Fund and Allegro Income Balanced Portfolio Class
- January 19, 2015 December 19, 2017
- 12:50
OSC stays fund rep’s suspension
New hearing scheduled to review director’s decision
- By: James Langton
- January 16, 2015 December 19, 2017
- 13:00
Canadian lawyer charged in microcap scheme: SEC
SEC alleges Vancouver man was mastermined 20-company pump-and-dump scheme
- By: James Langton
- January 16, 2015 December 19, 2017
- 09:10
UBS unit paying US$14.4M to settle SEC charges in ‘dark pool’ case
Firm failed to properly disclose the existence of a certain order type to all of its subscribers, SEC says
- By: James Langton
- January 15, 2015 December 19, 2017
- 16:00
Alberta EMD surrenders registration
ASC staff were seeking to suspend the registration of Rosehall Exempt Market Solutions
- By: IE Staff
- January 15, 2015 December 19, 2017
- 15:15
First Leaside pair breached securities law: OSC
Phillips and Wilson sold securities without first disclosing auditor’s report
- By: James Langton
- January 15, 2015 December 19, 2017
- 14:50
Ontario regulators warn investors
Investors cautioned about unregistered firms, unlicensed mortgage broker
- By: IE Staff
- January 15, 2015 December 19, 2017
- 07:30
SEC adopts derivatives reporting rules
Two new rules aim to enhance transparency in the swaps market
- By: James Langton
- January 14, 2015 December 19, 2017
- 15:40
SEC charges Canadian with running ‘layering’ scheme
Alleged scheme carried out by online traders in Asia
- By: James Langton
- January 13, 2015 December 19, 2017
- 16:25
IIROC updates sanction guidelines
Regulator sets out approach to providing credit for cooperation during settlement negotiations
- By: James Langton
- January 13, 2015 December 19, 2017
- 13:45
SEC to focus on retail investor issues
U.S. regulator outlines 2015 priorities for compliance office
- By: James Langton
- January 13, 2015 December 19, 2017
- 11:00