UK regulator backs move to unbundle research from commissions
FCA to support proposed European reforms to further separate research from dealing commissions
- By: James Langton
- July 10, 2014 December 19, 2017
- 08:20
Latest news in From the Regulators
OSC imposes bans, penalties in Rezwealth illegal distribution case
Sanctions in include over $3 million is disgorgement and almost $1 million in penalties
- By: James Langton
- July 10, 2014 December 19, 2017
- 07:00
Progress on national regulator prompts mixed reaction
Alberta says further revisions are necessary to win its support
- By: James Langton
- July 9, 2014 December 19, 2017
- 14:10
BCSC alleges couple carried out wash trades
Regulator alleges statement to investigators was false or misleading
- By: James Langton
- July 9, 2014 December 19, 2017
- 13:30
UK regulators review competition in wholesale markets
FCA looking to identify areas where competition may be weak or not be working properly
- By: James Langton
- July 9, 2014 December 19, 2017
- 10:55
Ottawa announces progress on securities regulator
Saskatchewan, New Brunswick agree to join cooperative regulator
- By: James Langton
- July 9, 2014 December 19, 2017
- 08:15
Disgraced fund salesman facing permanent OSC ban
Paul Yoannou was convicted on 15 counts of fraud
- By: James Langton
- July 8, 2014 December 19, 2017
- 13:00
NSSC imposes 20-year ban on promoter
Halifax man promoted Sunseeker Energy shares without registration
- By: James Langton
- July 7, 2014 December 19, 2017
- 16:25
BCSC alleges former fund salesman committed fraud
Investor lost funds in pension unlocking scheme
- By: James Langton
- July 7, 2014 December 19, 2017
- 14:25
Advisor fined for KYC failings, unauthorized trades
Husband used funds from couple’s RRSPs to help his company
- By: Fiona Collie
- July 7, 2014 December 19, 2017
- 13:50
EBA warns against virtual currencies
Financial firms should avoid virtual currencies, like Bitcoin, until a regulatory framework exists, say regulators
- By: James Langton
- July 4, 2014 December 19, 2017
- 14:00
OSC to reconsider Kingship’s acquisition plans
Kingship seeks new hearing on proposed acquisition of Pro-Financial’s investment management agreements
- By: James Langton
- July 4, 2014 December 19, 2017
- 12:10
OSC to consider market structure changes
Regulator to host roundtable discussion on CSA’s proposed amendments to trading rules
- By: James Langton
- July 3, 2014 December 19, 2017
- 13:45
Securities regulators encourage corporate gender diversity
Most provinces follow OSC’s proposed amendments to corporate governance rules
- By: James Langton
- July 3, 2014 December 19, 2017
- 10:25
Regulators to research securitization markets
Task force will survey markets to understand how they are evolving globally
- By: James Langton
- July 3, 2014 December 19, 2017
- 08:15
U.S. regulators release resolution plans
Plans outline strategies for an orderly resolution should a bank fail or run into “material financial distress”
- By: James Langton
- July 2, 2014 December 19, 2017
- 16:10
Former registrant allegedly committed fraud: BCSC
Regulator alleges Thomas Williams fraudulently raised $11.7 million from 123 investors
- By: James Langton
- July 2, 2014 December 19, 2017
- 15:20
OSC revokes stay against ex-advisor penalty
Regulator imposed stay on $50,000 fine last year pending appeals
- By: James Langton
- July 2, 2014 December 19, 2017
- 14:10
“Trade-throughs” lead to penalties for Goldman Sachs division
Almost 400,000 transactions were completed in 2011 at inferior prices through Goldman Sach’s dark pool
- By: James Langton
- July 2, 2014 December 19, 2017
- 10:50
Foreign-exchange trading scheme violated securities law: OSC
Rare Investments solicited over $1.2 million from investors
- By: James Langton
- June 30, 2014 December 19, 2017
- 16:10
Regulators publish guidelines for Basel III requirements
Draft guidance sets out expectations for content, format and frequency of leverage disclosure
- By: James Langton
- June 30, 2014 December 19, 2017
- 09:45
FINRA shines light on private corporate debt trading
U.S. regulators now publically disseminating Rule 144A transactions
- By: James Langton
- June 30, 2014 December 19, 2017
- 09:30
Provinces opposed to federal plan for national regulator cite “fragmentation”
Securities regulators outside Ontario and B.C. plan counter-proposal
- By: James Langton
- June 27, 2014 December 19, 2017
- 11:15
OSC offers amendments to OTC trade reporting rules
The intention is to reduce the reporting burden on some OTC derivatives market participants
- By: James Langton
- June 27, 2014 December 19, 2017
- 11:00
Former dealer rep fined $2 million over hedge fund scheme
An MFDA panel emphasized the problems caused by the former rep’s refusal to cooperate with the investigation
- By: James Langton
- June 26, 2014 December 19, 2017
- 17:10