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
Latest news in From the Regulators
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
Basel proposes changes to trading book capital requirements
The goal is to promote consistent implementation of the rules across banks
- By: James Langton
- December 19, 2014 December 19, 2017
- 10:10
AMF updates list of unauthorized trading sites
Five online trading platforms added to list
- By: James Langton
- December 19, 2014 December 19, 2017
- 09:15
RBC to pay US$35 million to settle wash trading case
Bank neither admits nor denies CFTC’s allegations
- By: James Langton
- December 19, 2014 December 19, 2017
- 08:50
IIROC issues guidance on underwriting due diligence
Revised guidance designed to promote consistency and enhanced standards
- December 18, 2014 December 19, 2017
- 16:15