OSC announces new IAP members
Two industry veterans join Investor Advisory Panel
- By: James Langton
- September 15, 2014 December 19, 2017
- 15:00
Latest news in From the Regulators
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
Barriers to derivatives data may require legislation
Report gives update on progress in resolving cross-border implementation issues with OTC market reform
- By: James Langton
- September 11, 2014 December 19, 2017
- 08:55
IIROC members approve board of directors
All directors re-elected
- By: IE Staff
- September 10, 2014 December 19, 2017
- 14:55
Low number of cybersecurity incidents: NASAA
Survey of U.S. firms designed to help regulators better understand the technology and data practices of investment advisors
- By: James Langton
- September 10, 2014 December 19, 2017
- 14:30
OSC bans pair for unregistered trading, illegal distributions
The two men helped exempt market dealer Morgan Dragon raise over $5 million by selling LP units without filing a prospectus
- By: James Langton
- September 10, 2014 December 19, 2017
- 12:40
AMF cracking down on OTC abusive trading
Quebec regulators have cease traded 23 issuers over concerns about their compliance with continuous disclosure rules
- By: James Langton
- September 10, 2014 December 19, 2017
- 11:20
Ex-advisor banned for illegal distribution
Former advisor sold over $300,000 in shares without registration or filing a prospectus
- By: James Langton
- September 9, 2014 December 19, 2017
- 15:30
AMF brings charges in alleged scam
Regulator brought almost 40 charges against 11 people and two companies
- By: James Langton
- September 9, 2014 December 19, 2017
- 12:00
One step closer for cooperative regulator
Four provinces and feds sign MOA setting out terms and conditions for the new regulator
- By: James Langton
- September 8, 2014 December 19, 2017
- 15:25
IIROC fees to remain flat
Declining operating costs and past surpluses will keep market regulation fees stable, says annual report
- By: James Langton
- September 8, 2014 December 19, 2017
- 12:50
IOSCO issues proposal on use of non-GAAP measures
Proposed statement is intended to help issuers provide investors with clear and useful disclosure
- By: James Langton
- September 8, 2014 December 19, 2017
- 08:45
OSC bans Tricoastal Capital manager
Keith Summers fraudulently withdrew investors’ funds
- By: James Langton
- September 5, 2014 December 19, 2017
- 16:30
SEC names ombudsman
Tracey McNeil will help resolve problems retail investors have with SE, industry SROs
- By: James Langton
- September 5, 2014 December 19, 2017
- 13:55
ASC alleges illegal distributions made by fundraising venture
Global Social Capital Partners issued $1.5 million of unregistered securities, regulators say
- By: James Langton
- September 5, 2014 December 19, 2017
- 08:30
ASC sanctions insider for untrue statement to investigators
Case centred on husband’s stock purchase
- By: IE Staff
- September 4, 2014 December 19, 2017
- 15:15
OSC suspends exempt market dealer
Regulator denies appeal by Sterling Grace & Co., chief compliance officer
- By: James Langton
- September 4, 2014 December 19, 2017
- 14:10