Ex fund rep must pay clients
Audit reveals former salesman processed trades using signed blank forms for over a dozen clients
- By: Fiona Collie
- October 17, 2014 December 19, 2017
- 10:25
Latest news in From the Regulators
Disclosure from firms lacks uniformity: IIROC
IIROC releases FAQ document on first phase of CRM2 reforms
- By: James Langton
- October 17, 2014 December 19, 2017
- 07:45
Record year of enforcement for SEC
U.S. regulator filed 755 enforcement actions in 2014
- By: James Langton
- October 16, 2014 December 19, 2017
- 15:50
SEC levies first fine against high-speed trading firm
Athena Capital Research to pay US$1 million
- By: Marcy Gordon
- October 16, 2014 December 19, 2017
- 14:55
Companies prodded to enhance gender diversity
Regulators finalize rule amendments regarding disclosure of women on boards and in senior management
- By: James Langton
- October 15, 2014 December 19, 2017
- 07:15
‘No alternative’ but to fight to clear his name, Black says
Former Hollinger exec testifies at OSC hearing
- By: David Friend
- October 10, 2014 December 19, 2017
- 14:45
CSA drops plan to lower reporting threshold
Update on early warning reporting system project notes industry concerns
- By: James Langton
- October 10, 2014 December 19, 2017
- 10:45
Global regulators propose rules for investment funds
IOSCO seeks feedback on principles to safeguard assets held in “collective investments schemes”
- By: James Langton
- October 10, 2014 December 19, 2017
- 09:20
PEI signs on
The province has decided to join the Cooperative Capital Markets Regulator (CCMR) System
- By: James Langton
- October 9, 2014 December 19, 2017
- 15:30
E-Trade settles SEC charges with $2.5M fine
Subsidiaries fined for improperly selling penny stock shares
- By: James Langton
- October 9, 2014 December 19, 2017
- 13:55
CTFC settles with Toronto-based futures firm
Rules violated in transfer of client funds
- By: James Langton
- October 9, 2014 December 19, 2017
- 09:10
OSC allows Conrad Black to testify on activities at Hollinger
Panel also to allow testimony from two other witnesses
- By: The Canadian Press
- October 9, 2014 December 19, 2017
- 08:15
IIROC schedules next round of continuity tests
October 2015 date set to coincide with planned test in U.S.
- By: James Langton
- October 9, 2014 December 19, 2017
- 07:25
Ex fund manager gets jail time
Keith Summers sentenced to three years in jail after pleading guilty to fraud
- By: James Langton
- October 8, 2014 December 19, 2017
- 15:25
Avoid CRM2 breakdowns
Panelists discuss CRM2 requirements along with other potential changes at Toronto event
- By: Fiona Collie
- October 8, 2014 December 19, 2017
- 13:00
CCIR outlines top priorities
Strategic plan focused on enhancing consumer protection
- By: James Langton
- October 7, 2014 December 19, 2017
- 14:40
No-contest settlement earned bigger payout for OSC: panel
The $8 million EY payment is consistent with those imposed by the SEC in similar matters
- By: James Langton
- October 7, 2014 December 19, 2017
- 07:20
Basel Committee reports shortcomings in banks’ risk management
“Insufficient progress” in implementing principles that reflect lessons from financial crisis
- By: James Langton
- October 6, 2014 December 19, 2017
- 12:00
OSC’s Wetston re-elected to IOSCO board
New board better represents the geographical diversity of global group of regulators
- By: James Langton
- October 3, 2014 December 19, 2017
- 07:40
Deficiencies found in funds’ IFRS filings
OSC report uncovers common shortcomings
- By: James Langton
- October 2, 2014 December 19, 2017
- 13:00
OSFI updating guideline to reflect OTC derivatives reforms
Revised guideline will apply to all federally regulated firms and their subsidiaries, effective Nov.1
- By: James Langton
- October 1, 2014 December 19, 2017
- 14:20
IOSCO examines financing for SMEs and infrastructure
New report reviews market-based financing in developed and emerging markets
- By: James Langton
- October 1, 2014 December 19, 2017
- 09:55
U.S. regulators, exchanges file audit trail plan
Agreement establishes policies and procedures to create and maintain new system
- By: James Langton
- October 1, 2014 December 19, 2017
- 08:40
Toronto man accused of insider trading in Herbalife
The SEC has charged two men with insider trading related to a hedge fund’s short position
- By: James Langton
- September 30, 2014 December 19, 2017
- 14:00
FINRA proposes new market surveillance system
CARDS would provide U.S. regulators with client account and transaction data
- By: James Langton
- September 30, 2014 December 19, 2017
- 13:40