MFDA bans former Ontario advisor
Windsor man misrepresented recommendations to clients, MFDA panel finds
- By: IE Staff
- May 19, 2015 December 19, 2017
- 15:15
Latest news in From the Regulators
OSC to consider settlement with former Livent exec
Eckstein previously pled guilty to fraud
- By: James Langton
- May 19, 2015 December 19, 2017
- 15:15
IIROC bans former Ontario rep
Numerous rule violations net $75,000 fine
- By: IE Staff
- May 18, 2015 December 19, 2017
- 12:00
OSC reciprocates ASC ban against trader
Gordon Mak is banned from trading, registration and relying on exemptions until 2020
- By: James Langton
- May 15, 2015 December 19, 2017
- 12:55
FINTRAC fines Montreal money service business
$20,780 penalty imposed on numbered company
- By: James Langton
- May 14, 2015 December 19, 2017
- 13:50
CSA to review CDS fee proposal
Proposed changes include “entitlement and corporate action event management” fees for issuers
- By: James Langton
- May 14, 2015 December 19, 2017
- 13:30
IIROC fines Winnipeg rep, branch manager
Pair sanctioned for KYC and supervisory failings
- By: IE Staff
- May 14, 2015 December 19, 2017
- 13:00
Provinces adopt startup crowdfunding exemption
Exemption designed to facilitate capital raising by very early-stage companies
- By: James Langton
- May 14, 2015 December 19, 2017
- 10:25
Global investor education leaders to gather in Malaysia
IOSCO, IFIE conference will feature speakers from 17 countries
- By: James Langton
- May 14, 2015 December 19, 2017
- 08:40
ASC sanctions energy exec for making untrue statement to investigators
Regulator rejects call for heavier penalty
- By: James Langton
- May 13, 2015 December 19, 2017
- 15:20
Moody’s launches private ratings of infrastructure and project finance debt
Agency sees increasing demand from insurers and pension funds for project and infrastructure investments
- By: James Langton
- May 13, 2015 December 19, 2017
- 15:00
FINRA fines Morgan Stanley US$2 million over short-sale violations
The firm failed to accurately report its short interest positions in certain securities
- By: James Langton
- May 13, 2015 December 19, 2017
- 13:20
BIS, ECB and IMF publish handbook on securities statistics
The aim is to foster the harmonization of international securities statistics presentation
- By: James Langton
- May 12, 2015 December 19, 2017
- 11:00
Independent Trading Group fined $170,000
IIROC sanctions professional trading firm for inadequate controls
- By: IE Staff
- May 11, 2015 December 19, 2017
- 15:25
AMF signs insurance regulators information sharing agreement
IAIS welcome Malaysia and Quebec as signatories
- By: James Langton
- May 11, 2015 December 19, 2017
- 13:15
BIS sets sights on global foreign exchange code of conduct
Governors agree to set up a working group
- By: James Langton
- May 11, 2015 December 19, 2017
- 10:30
BCSC panel fines former broker $30,000
Recommendation for more severe sanctions rejected
- By: James Langton
- May 8, 2015 December 19, 2017
- 14:00
Nova Scotia mulls harmonization on OM exemption
The goal is to reduce the compliance burden for issuers while maintaining investor protection
- By: James Langton
- May 8, 2015 December 19, 2017
- 06:45
Benefits of dark trading rules outweigh costs: IIROC
Roundtable to discuss alternatives to address the impact of routing of retail orders to U.S. broker-dealers
- By: James Langton
- May 7, 2015 December 19, 2017
- 13:15
OSC approves settlement with former IR exec
Wife traded on inside information from husband
- By: James Langton
- May 7, 2015 December 19, 2017
- 12:00
SEC approves tick size pilot
U.S. regulator will measure impact for smaller companies
- By: James Langton
- May 7, 2015 December 19, 2017
- 10:30
Great sounding offer too good to be true: BCSC
Investors warned of man offering economically impossible returns
- By: The Canadian Press
- May 6, 2015 December 19, 2017
- 15:00
OSC asset freeze can continue
Court dismisses motion to revoke freeze in Future Solar enforcement case
- By: James Langton
- May 6, 2015 December 19, 2017
- 12:40