OSFI issues guidance on leverage ratio disclosure
Guideline provides clarification on the implementation of the BCBS LR disclosure requirements for banks
- By: James Langton
- September 22, 2014 December 19, 2017
- 13:00
Latest news in From the Regulators
FINRA board approves proposed HFT rule changes
The board also approved initiatives to enhance transparency in fixed income markets
- By: James Langton
- September 22, 2014 December 19, 2017
- 08:25
OSC reaches proposed settlement with Sino Forest auditors Ernst & Young
Hearing scheduled to consider the the regulator’s first ever no contest settlement
- By: James Langton
- September 22, 2014 December 19, 2017
- 05:30
Consultant provided advice without being registered: OSC
Turks & Caicos company used powers of attorney used to provide investment advisory services
- By: James Langton
- September 19, 2014 December 19, 2017
- 13:45
Industry must work together, IIROC CEO says
The goal is to encourage investor confidence
- By: James Langton
- September 18, 2014 December 19, 2017
- 14:15
CSA, IIROC spar over CRM2
Regulators disagree over the approach to reporting certain off-book positions to clients
- September 18, 2014 December 19, 2017
- 13:50
OSC proposes new fee rules
Regulator proposes a return to fees based on current market conditions
- By: James Langton
- September 18, 2014 December 19, 2017
- 09:50
Court won’t review OSC decision
Hearing into insider trading allegations to proceed
- By: James Langton
- September 17, 2014 December 19, 2017
- 16:00
IOSCO proposes risk mitigation standards for OTC derivatives
Nine standards aimed at mitigating the risks of non-centrally cleared OTC derivatives.
- By: James Langton
- September 17, 2014 December 19, 2017
- 14:30
Former fund rep committed fraud: BCSC
Two real estate developers raised $3.6 million by illegally distributing securities
- By: James Langton
- September 17, 2014 December 19, 2017
- 07:50
Washington’s William Beatty to lead NASAA
Incoming president to focus on the protection of senior investors
- By: James Langton
- September 16, 2014 December 19, 2017
- 15:50
SEC fines 19 firms for short selling violations
Companies charged include Montreal-based Formula Growth Ltd.
- By: IE Staff
- September 16, 2014 December 19, 2017
- 11:20
Calgary energy trader fined, sanctioned
U.S. CFTC settles manipulative trading charges against former head of Amaranth Advisors
- By: James Langton
- September 16, 2014 December 19, 2017
- 08:10
FSCO issues warning on life settlements
Selling or transferring life insurance policies may not be legal in Ontario
- By: James Langton
- September 15, 2014 December 19, 2017
- 15:40
OSC announces new IAP members
Two industry veterans join Investor Advisory Panel
- By: James Langton
- September 15, 2014 December 19, 2017
- 15:00
No fine in settlement concerning Ponzi scheme: OSC
Sandra Gale admits to breaching securities laws in selling Gold-Quest International securities
- By: James Langton
- September 15, 2014 December 19, 2017
- 11:50
Former trading assistant wins appeal
OSC overturns IIROC decision against Mark McQuillen
- By: James Langton
- September 15, 2014 December 19, 2017
- 11:35
Alboini fined by OSC, suspended for one year
Northern Securities CEO in conflict of interest
- By: David Paddon
- September 12, 2014 December 19, 2017
- 17:15
IIROC calls for nominee to OBSI board
Candidate may be appointed to OBSI’s board for a term of up to three years
- By: James Langton
- September 12, 2014 December 19, 2017
- 15:40
OFSI issues final guideline for CDOR benchmark
Canadian authorities are working to enhance oversight of Canadian Dollar Offered Rate
- By: James Langton
- September 12, 2014 December 19, 2017
- 13:55
ASC reaches settlement in Sundre River Case
Sundre River Resorts raised $1.2 million from 30 investors without filing a prospectus or an exemption
- By: James Langton
- September 12, 2014 December 19, 2017
- 07:15
FINRA issues ‘frontier markets’ warning
Investors urged to consider how an investment might fit as part of a well-diversified portfolio
- By: James Langton
- September 11, 2014 December 19, 2017
- 15:45
NASAA forms working group to develop improved fee disclosure
Group will work with industry and FINRA to achieve more meaningful disclosure of broker-dealer fees
- By: James Langton
- September 11, 2014 December 19, 2017
- 11:50
CSA to develop harmonized approach for take-over bids
Proposed amendments are designed to provide target boards with additional time to respond to hostile bids
- By: James Langton
- September 11, 2014 December 19, 2017
- 11:15