OSC approves settlement with Heritage
Scholarship plan dealer reprimanded for compliance deficiencies
- By: James Langton
- January 12, 2015 December 19, 2017
- 17:15
Latest news in From the Regulators
SEC bulletin highlights risks with structured products
Complicated payoff structures can make it difficult for investors to assess value, risk and the potential for growth
- By: James Langton
- January 12, 2015 December 19, 2017
- 15:40
Two exchanges to pay $14M to settle SEC case on trading order information
EDGA, EDGX agree to settle charges
- By: James Langton
- January 12, 2015 December 19, 2017
- 15:30
Calgary man charged with fraud: OSC
False account statements minimized investor losses, regulator alleges
- By: James Langton
- January 12, 2015 December 19, 2017
- 13:40
OSC announces new RAC members
Members from various registration categories to serve two-year terms
- By: James Langton
- January 9, 2015 December 19, 2017
- 10:50
Trio manipulated price of Sungro Minerals: BCSC
The advisor that handled the trades did nothing wrong, regulator finds
- By: James Langton
- January 7, 2015 December 19, 2017
- 16:25
Put clients’ interests first: FINRA
U.S. regulator continues to find shortcomings with firms aligning their interests with their customers
- By: James Langton
- January 6, 2015 December 19, 2017
- 12:50
Regulators share ideas on setting capital requirements for life insurers
Paper outlines the principles and concepts supporting the development of the potential new life insurance capital framework standard approach
- By: James Langton
- January 5, 2015 December 19, 2017
- 16:10
BCSC sanctions two men in secret promotion case
Elite Stock Report published “grossly misleading” reports on three OTCBB companies
- By: IE Staff
- January 5, 2015 December 19, 2017
- 14:50
OSC names four to Securities Advisory Committee
New members will serve three-year terms
- By: James Langton
- January 5, 2015 December 19, 2017
- 11:30
Cost-sharing arrangements facing increased scrutiny from MFDA
Fund dealers advised to review their existing arrangements
- By: James Langton
- January 5, 2015 December 19, 2017
- 10:40
Regulators’ plates will be full in 2015
Among the issues facing the rule-makers are creation of the CCMR and implementation of CRM2 reforms
- By: James Langton
- December 24, 2014 December 19, 2017
- 11:20
Regulators moved forward on several key fronts in 2014
The past 12 months included a wide range of significant changes, from implementing CRM2, to fresh steps toward a national regulator
- By: James Langton
- December 24, 2014 December 19, 2017
- 11:00
CPMI, IOSCO issue methodology for oversight of market technology providers
The goal is to establish a regulatory oversight methodology for financial market infrastructure firms
- By: James Langton
- December 24, 2014 December 19, 2017
- 10:20
ASC sanctions mortgage broker, spouse for illegal trades
The illegally traded and distributed securities of Infuse Capital Corp. and made misrepresentations to investors
- By: James Langton
- December 24, 2014 December 19, 2017
- 08:15
FINRA warns of e-cigarette scams
Investors urged to look beyond the hype and be watchful for pump-and-dump fraudsters
- By: James Langton
- December 23, 2014 December 19, 2017
- 14:00
Consultant banned for 15 years: OSC
Liberty Consulting used powers of attorney used to provide unregistered investment advisory services
- By: James Langton
- December 22, 2014 December 19, 2017
- 16:00
Basel Committee wants standardized assessment of banks’ capital
BCBS to establish standardized capital floor
- By: James Langton
- December 22, 2014 December 19, 2017
- 15:45
Comments on proposed CCMRS legislation released
Submissions posted from over 60 commenters
- By: James Langton
- December 22, 2014 December 19, 2017
- 11:45
FCA to oversee seven more benchmarks
The UK regulators says that the measures are designed to enhance market integrity and bolster investor confidence
- By: James Langton
- December 22, 2014 December 19, 2017
- 10:35
OSC withdraws allegations agains three three Nortel execs
The trio were acquitted of criminal charges in January 2013
- By: James Langton
- December 19, 2014 December 19, 2017
- 15:45
CSA approves MFDA CRM2 amendments
Reforms finalized for fund dealers
- By: James Langton
- December 19, 2014 December 19, 2017
- 13:40
ESMA proposes reforms for secondary markets
New framework aims to ensure secondary markets are fair, transparent and safe
- By: James Langton
- December 19, 2014 December 19, 2017
- 11:00