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
Latest news in From the Regulators
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
OSC approves settlement with Heritage
Scholarship plan dealer reprimanded for compliance deficiencies
- By: James Langton
- January 12, 2015 December 19, 2017
- 17:15
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