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
Latest news in From the Regulators
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
UK to widen law against rigging to other benchmarks
New oversight considered for oil, gold markets
- By: James Langton
- September 25, 2014 December 19, 2017
- 09:15
Swiss bank agrees to pay $850,000 for unregistered trading in B.C.
Bank Gutenberg serviced accounts of several offshore corporations where at least one of the beneficial shareholders were residents of B.C.
- By: James Langton
- September 24, 2014 December 19, 2017
- 16:15
OSC charges two men with fraud
$6.8 million raised from Londoni Gold investors
- By: James Langton
- September 24, 2014 December 19, 2017
- 14:25
OSFI issues revised guideline for P&C insurers
Interim capital framework for mortgage insurers to be based on modified version of the framework for P&C insurers
- By: James Langton
- September 24, 2014 December 19, 2017
- 14:00
FCNB issues warning to investors
The N.B. regulator is reporting an increase in cold calls pitching unregistered investments
- By: James Langton
- September 24, 2014 December 19, 2017
- 11:30
OSC designates three OTC trade repositories
Three firms approved to serve as trade repositories for over-the-counter derivatives trade reporting in Canada
- By: James Langton
- September 23, 2014 December 19, 2017
- 12:20
Barclays fined $68.4 million by UK regulator
British bank put clients’ assets at risk, FCA says
- By: James Langton
- September 23, 2014 December 19, 2017
- 08:45
Tempest Capital to resign from IIROC
The resignation date for the boutique firm will be announced at a later date
- By: James Langton
- September 23, 2014 December 19, 2017
- 07:00
SEC to pay record US$30 million to whistleblower
Award international breadth of whistleblower program
- By: James Langton
- September 22, 2014 December 19, 2017
- 15:00
Low rates still needed, says BoC deputy
Continued monetary stimulus needed to return Canadian economy to sustainable growth
- By: The Canadian Press
- September 22, 2014 December 19, 2017
- 14:20
OSFI issues guidance on leverage ratio disclosure
Guideline provides clarification on the implementation of the BCBS LR disclosure requirements for banks
- By: James Langton
- September 22, 2014 December 19, 2017
- 13:00
FINRA board approves proposed HFT rule changes
The board also approved initiatives to enhance transparency in fixed income markets
- By: James Langton
- September 22, 2014 December 19, 2017
- 08:25
OSC reaches proposed settlement with Sino Forest auditors Ernst & Young
Hearing scheduled to consider the the regulator’s first ever no contest settlement
- By: James Langton
- September 22, 2014 December 19, 2017
- 05:30
Consultant provided advice without being registered: OSC
Turks & Caicos company used powers of attorney used to provide investment advisory services
- By: James Langton
- September 19, 2014 December 19, 2017
- 13:45
Industry must work together, IIROC CEO says
The goal is to encourage investor confidence
- By: James Langton
- September 18, 2014 December 19, 2017
- 14:15
CSA, IIROC spar over CRM2
Regulators disagree over the approach to reporting certain off-book positions to clients
- September 18, 2014 December 19, 2017
- 13:50
OSC proposes new fee rules
Regulator proposes a return to fees based on current market conditions
- By: James Langton
- September 18, 2014 December 19, 2017
- 09:50
Court won’t review OSC decision
Hearing into insider trading allegations to proceed
- By: James Langton
- September 17, 2014 December 19, 2017
- 16:00
IOSCO proposes risk mitigation standards for OTC derivatives
Nine standards aimed at mitigating the risks of non-centrally cleared OTC derivatives.
- By: James Langton
- September 17, 2014 December 19, 2017
- 14:30
Former fund rep committed fraud: BCSC
Two real estate developers raised $3.6 million by illegally distributing securities
- By: James Langton
- September 17, 2014 December 19, 2017
- 07:50