Former fund salesman fined $17.5 million
BSCS orders permanent market ban for fraud, misrepresentations
- By: James Langton
- November 5, 2014 December 19, 2017
- 18:20
Latest news in From the Regulators
FSCO monitoring other regulators’ disciplinary actions
Misconduct by a dually licensed agent may result in having the agent’s insurance license revoked or suspended
- By: Megan Harman
- November 5, 2014 December 19, 2017
- 13:40
SEC sanctions 10 small issuers
Firms failed to make required disclosure of stock dilution
- By: James Langton
- November 5, 2014 December 19, 2017
- 11:50
NASAA enforcement activity down in 2013
The majority of enforcement actions handled by state securities regulators involve unlicensed individuals
- By: James Langton
- November 5, 2014 December 19, 2017
- 09:25
OSC to hear ex branch manager’s appeal
IIROC sanctions called “disproportionate”
- By: IE Staff
- November 4, 2014 December 19, 2017
- 14:10
CSA invites investors on Fund Facts tour
The CSA is also sending out investor education tweets during Financial Literacy Month
- By: IE Staff
- November 4, 2014 December 19, 2017
- 12:40
IIROC launches new online investor tools
The self-regulatory organization partnering is with a number of groups to promote investor knowledge during Financial Literacy Month
- By: IE Staff
- November 4, 2014 December 19, 2017
- 12:15
IOSCO publishes strategic framework for investor education, financial literacy
Framework will guide the Committee on Retail Investors’ efforts in establishing investor education initiatives
- By: James Langton
- November 4, 2014 December 19, 2017
- 10:25
SEC charges Canadian pair in alleged US$17M scheme
Pair accused of staging a massive promotional campaign for a penny stock while dumping its shares
- By: James Langton
- November 3, 2014 December 19, 2017
- 16:10
NSSC creates videos for Financial Literacy Month
Videos aim to help investors identify fraud
- By: IE Staff
- November 3, 2014 December 19, 2017
- 14:20
Former Ontario rep banned, fined $75,000
Clients misled, false account statements issued
- By: Fiona Collie
- November 3, 2014 December 19, 2017
- 10:30
NSSC issues investor alert for Aura Mergers & Acquisitions
Firm is unregistered, and the subject of a warning in Europe
- By: James Langton
- November 3, 2014 December 19, 2017
- 09:55
Debt transaction reporting rule approved
Investment dealers will have to report debt security transactions to IIROC next year
- By: Fiona Collie
- October 31, 2014 December 19, 2017
- 15:00
CCMRS comment period extended
Stakeholders request more time
- By: IE Staff
- October 31, 2014 December 19, 2017
- 12:45
SEC, FINRA warn against dormant penny stock fraud
Fraudsters continue to use dormant shell company scams to manipulate stock prices
- By: James Langton
- October 31, 2014 December 19, 2017
- 07:20
Investors warned to beware of Ebola schemes
NASAA Internet fraud group identifies 184 suspicious websites
- By: James Langton
- October 29, 2014 December 19, 2017
- 14:40
MFDA releases payment of fines status report
The report aims to increase transparency relating to the MFDA’s fine collection rate
- By: IE Staff
- October 29, 2014 December 19, 2017
- 14:10
Derivatives players reminded to obtain LEIs
New trade reporting requirements take effect Oct. 31
- By: James Langton
- October 29, 2014 December 19, 2017
- 13:45
UK regulator looks to permanently ban CoCo sales to retail investors
Contingent convertible securities issued by bank’s are “riskly, highly complex financial instruments
- By: James Langton
- October 29, 2014 December 19, 2017
- 11:35
More effort needed to improve disclosure for retail investors
Regulators will have to get tougher about what they require from the industry, IIROC chief says
- By: James Langton
- October 29, 2014 December 19, 2017
- 07:15
Is Conrad Black a risk to Ontario’s capital markets?
Lawyers wrap up arguments at OSC hearing
- By: David Friend
- October 28, 2014 December 19, 2017
- 16:50
ASC launches Investor Education Month campaign
‘Trick or Treat’ event educates investors about how to avoid investment fraud
- By: IE Staff
- October 28, 2014 December 19, 2017
- 09:50
OSC introduces ‘Topical Guide for Registrants’
The goal is to provide tools to assist registrants with maintaining effective compliance
- By: James Langton
- October 27, 2014 December 19, 2017
- 15:00
ASC to appeal illegal insider trading case to SCC
Alberta Court of Appeal sends Eveready decision back to regulator
- By: James Langton
- October 27, 2014 December 19, 2017
- 11:15
Angel investor charged in alleged fraud
Scheme allegedly defrauded retirement home owners of advance fees
- By: IE Staff
- October 27, 2014 December 19, 2017
- 09:50