OSC settles Newer Technologies case
$12 million raised from illegally distributed promissory notes
- By: James Langton
- September 4, 2014 December 19, 2017
- 09:00
Latest news in From the Regulators
U.S. regulators adopts final liquidity rules for big banks
New swap margin requirements proposed
- By: James Langton
- September 3, 2014 December 19, 2017
- 15:55
Regulators still see supervisory gaps at global financial firms
Joint Forum report details the results of a recent survey of regulators
- By: James Langton
- September 3, 2014 December 19, 2017
- 09:20
Former Sino-Forest execs should be judged by Canadian standards: OSC
Five former officers accused of lying to investors and misleading investigators by inflating the company’s assets and revenue
- By: Linda Nguyen
- September 3, 2014 December 19, 2017
- 06:00
‘Terrible currency trader’ made false statements
Man offered shares in his company through Craigslist
- By: James Langton
- September 2, 2014 December 19, 2017
- 15:40
U.S. banks ordered to boost risk management
OCC issues new guidelines
- By: James Langton
- September 2, 2014 December 19, 2017
- 13:40
Notary fraud victims may get compensation
Investors were told that funds would be safe because they would be held in a notary trust account
- By: James Langton
- September 2, 2014 December 19, 2017
- 08:40
OSC suspends scholarship plan rep
Rep introduced scholarship plan clients to an investment program beyond his registration
- By: James Langton
- August 29, 2014 December 19, 2017
- 07:40
Toll Cross to resign from IIROC membership
The small-cap market has been under increasing pressure
- By: James Langton
- August 28, 2014 December 19, 2017
- 16:10
Report makes recommendations in wake of July jobs error
Report finds lack of understanding among team members about changes to sub-system
- By: James Langton
- August 28, 2014 December 19, 2017
- 10:55
Former fund salesman fined $1.5 million
Jacques Scribnock facing criminal charges
- By: Fiona Collie
- August 27, 2014 December 19, 2017
- 16:10
OSC dismisses insider trading charges in Baffinland takeover case
Hearing panel sides with Jowdat Waheed and Bruce Walter
- By: James Langton
- August 27, 2014 December 19, 2017
- 11:05
UK banks fined $26.3M for failings in mortgage advice
British regulator says firms failed to ensure that advice given to customers was suitable
- By: James Langton
- August 27, 2014 December 19, 2017
- 09:00
FINRA fines Citigroup unit US$1.85 million
Firm failed to provide clients best execution in 22,000 transactions
- By: James Langton
- August 26, 2014 December 19, 2017
- 14:00
Manitoba mortgage broker to face hearing
Regulators allege firm and its agent engaged in fraud
- August 26, 2014 December 19, 2017
- 11:35
Securities fraud provisions constitutional, court rules
Trio facing fraud charges in Alberta had argued that provincial securities law infringed on federal jurisdiction over criminal law
- By: James Langton
- August 22, 2014 December 19, 2017
- 16:10
BCSC suspends two Oriens Travel officers
Execs fined for illegally distributing securities, breaching a cease trade order
- By: James Langton
- August 21, 2014 December 19, 2017
- 14:40
OSC donates $2.5 million to FAIR Canada
Bulk of money earmarked for endowment fund
- By: James Langton
- August 21, 2014 December 19, 2017
- 11:40
Former fund rep committed fraud: BCSC
Sanctions and penalties to be determined
- By: James Langton
- August 19, 2014 December 19, 2017
- 16:30
NASAA forms seniors’ issues committee
Senior investor fraud and abuse is an ever-growing problem
- By: James Langton
- August 19, 2014 December 19, 2017
- 11:40
Former assistant seeks to clear name
IIROC last year dismissed charges against David Berry, Mark McQuillen’s former boss
- By: James Langton
- August 19, 2014 December 19, 2017
- 11:20
Former fund salesman fined $50,000
Off-book transactions used to purchase real estate
- By: Fiona Collie
- August 19, 2014 December 19, 2017
- 09:30
Indianapolis to host NASAA annual conference
Regulators to focus protecting seniors, high-frequency trading and crowdfunding
- By: James Langton
- August 18, 2014 December 19, 2017
- 15:35
ASC bans Alberta geologist
Robert McPherson gets jail sentence for illegally raising funds for several resource firms
- By: James Langton
- August 18, 2014 December 19, 2017
- 12:50