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
Latest news in From the Regulators
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
New York financial firms get guidance on preventing senior exploitation
Financial exploitation is leading form of elder abuse in the state: study
- By: James Langton
- March 2, 2015 December 19, 2017
- 09:00
OSC charges three with violating cease trade orders
Court appearances scheduled for March
- By: James Langton
- February 27, 2015 December 19, 2017
- 13:45
OSC imposes permanent ban on Conrad Black
Bans issued against former Hollinger execs Black, Boultbee
- By: James Langton
- February 27, 2015 December 19, 2017
- 10:50
ISDA calls for standardized trade reporting
Principles designed to improve regulatory transparency and derivatives trade reporting
- By: James Langton
- February 27, 2015 December 19, 2017
- 10:20
CPMI, IOSCO publish disclosure standards for central counterparties
The regulators also published progress reports on the implementation of principles for financial market infrastructures in the U.S., Japan and Europe
- By: James Langton
- February 27, 2015 December 19, 2017
- 10:00
Fed extends comment period on capital surcharges
Regulators are planning to introduce capital surcharges for the largest, most systemically important banks
- By: James Langton
- February 26, 2015 December 19, 2017
- 15:40
Regulators mull Fund Facts for ETFs
OSC report outlines priorities for investment funds and structured products branch
- By: James Langton
- February 26, 2015 December 19, 2017
- 14:00
IIROC republishes proposed revisions to margin requirements
Margin requirements for agency cash and security borrowing and lending arrangements modified
- By: James Langton
- February 26, 2015 December 19, 2017
- 10:45
New York proposes rewards for whistleblowers
New law would provide financial compensation to whistleblowers who voluntarily report fraud in their industry
- By: James Langton
- February 26, 2015 December 19, 2017
- 10:00
BCSC fines, bans developer duo
Pair ordered to disgorge more than $3.6 million
- February 25, 2015 December 19, 2017
- 15:15