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
Latest news in From the Regulators
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
Ernst & Young to pay $8 million to settle with OSC
Settlement with audit firm entered into on a no-contest basis
- By: James Langton
- September 30, 2014 December 19, 2017
- 13:30
OSFI head outlines challenges in maintaining financial stability
Principles-based approach to regulation places greater stock in the judgment and risk management efforts of banks, says Rudin
- By: James Langton
- September 30, 2014 December 19, 2017
- 11:20
Global regulators call for reforms to currency benchmarks
FSB, IOSCO reports set out a number of recommendations for reform
- By: James Langton
- September 30, 2014 December 19, 2017
- 09:20
More jail time for state securities law violators: NASAA
The increase in jail time reflects the increasing complexity and seriousness of the crimes regulators investigate
- By: James Langton
- September 29, 2014 December 19, 2017
- 15:15
FSB eyes cross-border bank failures
Proposals designed to remove certain impediments to possible cross-border resolution
- By: James Langton
- September 29, 2014 December 19, 2017
- 08:50
OSC seeks members for Registrant Advisory Committee
The committee serves as a forum to discuss issues and challenges faced by registrants and provides feedback to regulators
- By: James Langton
- September 26, 2014 December 19, 2017
- 13:30
OSC stays sanctions against Northern Securities, CEO
A possible judicial review of the OSC’s decision is pending
- By: James Langton
- September 26, 2014 December 19, 2017
- 07:00
SEC suspends trading of nine microcaps
The suspensions are part of the regulator’s continued focus on surveying the penny stock market for suspicious activities
- By: James Langton
- September 25, 2014 December 19, 2017
- 14:15
Compliance reviews lead to more interventions: OSC
Many of the more serious compliance concerns involve exempt market dealers
- By: James Langton
- September 25, 2014 December 19, 2017
- 13:15
From registration to compliance
The OSC aims to make the initial registration process for firms closer to an actual compliance review
- By: James Langton
- September 25, 2014 December 19, 2017
- 13:00