Fairfax’s Watsa faces insider-trading probe from Quebec regulator
Investigation also involves Fairfax president, Paul Rivett
- By: The Canadian Press
- August 1, 2014 December 19, 2017
- 10:45
Latest news in From the Regulators
Do your homework on CoCos: ESMA
Banks are developing new securities to bolster capital and reduce risk of bailouts
- By: James Langton
- August 1, 2014 December 19, 2017
- 10:10
OSC warns fund managers against default fees
Regulator says default rates may eliminate fee negotiations between advisors and investors
- By: James Langton
- August 1, 2014 December 19, 2017
- 09:35
Whistleblower receives $400,000 from SEC
Individual had tried to address matter internally before turning to the SEC, says regulator
- By: James Langton
- July 31, 2014 December 19, 2017
- 15:20
BCSC bans former corporate director
Hearing panel also levies fine against director for improper exemption distributions
- By: James Langton
- July 31, 2014 December 19, 2017
- 14:35
Three companies seek trade repository recognition
Companies seek recognition for the OTC derivatives markets ahead of reforms
- By: James Langton
- July 31, 2014 December 19, 2017
- 11:20
UK firms fail to follow “best execution” rules
Regulator’s review found many firms do not ensure clients get best execution on trades
- By: James Langton
- July 31, 2014 December 19, 2017
- 09:00
OSFI publishes draft guidelines for leverage ratio
New rules will incorporate Basel Committee’s leverage ratio requirements
- By: James Langton
- July 30, 2014 December 19, 2017
- 13:30
ICBC suspends life agent
Former rep currently facing allegations of securities fraud from the BCSC
- By: James Langton
- July 30, 2014 December 19, 2017
- 09:25
NSSC extends cease trade order against ex-fund rep
Regulator to continue investigation of former mutual fund rep suspected of unregistered trading
- By: James Langton
- July 30, 2014 December 19, 2017
- 09:00
Little reward from whistleblowing incentives: FCA
Compensating whistleblowers does not improve the quality of tips coming in, according to British regulators
- By: James Langton
- July 30, 2014 December 19, 2017
- 08:00
Avoiding trouble: Privacy, advisor dismissal and more
Recent decisions from courts and tribunals dealing with business conduct and practice for financial advisors (excluding fraud)
- By: IE Staff
- July 29, 2014 December 19, 2017
- 15:00
JPMorgan to pay US$650,000 to settle CFTC charges
CFTC alleges securities firm filed inaccurate trading reports
- By: James Langton
- July 29, 2014 December 19, 2017
- 13:15
FINTRAC sanctions two money services firms
Penalties imposed on Bendix, Altaif for violations of anti-money laundering rules
- By: James Langton
- July 29, 2014 December 19, 2017
- 07:30
NASAA supports FINRA efforts to improve expungement process
Seidt stresses the importance of maintaining the integrity of CRD data
- By: James Langton
- July 28, 2014 December 19, 2017
- 15:50
BCSC alleges illegal distribution against tech company, founder and CEO
Exemptions not available, regulator says
- By: James Langton
- July 28, 2014 December 19, 2017
- 15:15
OSC announces Small and Medium Enterprises Committee members
SMEC chaired by OSC’s Jo-Anne Matear
- By: James Langton
- July 28, 2014 December 19, 2017
- 09:45
International Stock Transfer CEO pleads guilty to fraud
Frank Speight faces five years in prison for stealing US$3.3 million from investors
- By: James Langton
- July 25, 2014 December 19, 2017
- 13:05
ATS to pay US$5 million in SEC case
Citigroup unit LavaFlow settles without admitting or denying SEC’s findings
- By: James Langton
- July 25, 2014 December 19, 2017
- 13:00
Corporate director concealed connection to offshore trading account, lied to staff: BCSC
Regulator imposes two-year ban and $30,000 penalty
- By: James Langton
- July 25, 2014 December 19, 2017
- 08:00
IIROC secure email to launch in September
OneWorld to replace EMX service
- By: James Langton
- July 24, 2014 December 19, 2017
- 14:30
Former B.C. advisor fined $80,000
Rep purchased unsuitable stocks for client’s registered retirement savings plan
- By: Fiona Collie
- July 24, 2014 December 19, 2017
- 13:30
OSC to consider reciprocating ASC order
Hearing to consider sanctions against former rep
- By: James Langton
- July 24, 2014 December 19, 2017
- 13:00
OSC to review two IIROC hearing panel decisions
IIROC seeking review of sanctions handed down against Lucy Marie Pariak-Lukic
- By: James Langton
- July 24, 2014 December 19, 2017
- 12:20
IOSCO reviews social media usage
The use of social media is at an early stage for both the industry and regulators
- By: James Langton
- July 24, 2014 December 19, 2017
- 09:35