Paradigm settles with SEC in whistleblower Case
Hedge fund advisory firm charged over whistleblower retaliation
- By: James Langton
- June 16, 2014 December 19, 2017
- 14:15
Latest news in From the Regulators
FINRA fines Merrill Lynch US$8M
Firm ordered to pay restitution to clients for fund overcharges
- By: James Langton
- June 16, 2014 December 19, 2017
- 13:45
Conrad Black hearing with OSC to go ahead
The regulator wants to determine whether the former newspaper baron should be banned from trading or becoming a director
- By: The Canadian Press
- June 16, 2014 December 19, 2017
- 12:40
CSA issues investor alert on medical marijuana stocks
Companies cannot legally conduct a medical marijuana business without a licence from Health Canada
- By: James Langton
- June 16, 2014 December 19, 2017
- 11:30
FCA fines Credit Suisse, Yorkshire for misleading investors
Firms fined $7 million for UK financial promotions failures
- By: James Langton
- June 16, 2014 December 19, 2017
- 08:10
European regulators set out consumer complaint handling guidelines
Report aims to ensure a harmonized approach to handling complaints across all financial sectors within the EU
- By: James Langton
- June 16, 2014 December 19, 2017
- 07:15
IOSCO intensifies work on market-based finance
At meeting in Madrid, the board discussed progress on a number of initiatives
- By: James Langton
- June 13, 2014 December 19, 2017
- 15:35
Canada compliant with Basel III standards
Basel Committee notes deviation in the treatment of preferred shares and DB pension assets
- By: James Langton
- June 13, 2014 December 19, 2017
- 13:45
Proactive estate planning can help prevent financial abuse of seniors
World Elder Abuse Awareness Day is June 15
- By: IE Staff
- June 13, 2014 December 19, 2017
- 10:40
Fund Facts second phase takes effect
Disclosure document will be delivered to mutual fund investors within two days of their purchase
- By: James Langton
- June 13, 2014 December 19, 2017
- 10:30
IIROC publishes unpaid fines report
Individuals will be placed on the list if they fail to pay the amount owing within 60 days
- By: James Langton
- June 12, 2014 December 19, 2017
- 16:45
MFDA proposes amendments to implement CRM2
Regulator aims to bring its rules in line with rules adopted by the CSA
- June 12, 2014 December 19, 2017
- 14:30
CSA extends comment period for proxy advisory guidance
New deadline is July 23 for comments on the proposed new policy guidance for proxy advisory firms
- By: James Langton
- June 12, 2014 December 19, 2017
- 13:50
UK regulators target benchmarks
FCA, BoE and Treasury join forces for market abuse review
- By: James Langton
- June 12, 2014 December 19, 2017
- 08:45
Life agent denied licence for expired E&O insurance
Errors and omissions insurance is necessary to protect consumers: FSCO
- By: James Langton
- June 12, 2014 December 19, 2017
- 07:40
Mining company director breached securities laws: BCSC
Former director of Cinnabar Explorations signed exempt distribution reports when no prospectus exemption was available
- By: James Langton
- June 11, 2014 December 19, 2017
- 15:30
Former Alberta fund salesman guilty of fraud
Neil McDonald pled guilty to three counts of fraud in provincial court
- By: James Langton
- June 11, 2014 December 19, 2017
- 14:00
Ontario woman hit with 15-year ban
Andrea McCarthy carried out orders from alleged fraudster Sandy Winick
- By: James Langton
- June 10, 2014 December 19, 2017
- 16:40
Advance-fee fraudster gets jail time
Peter Siklos pleads guilty for his role in Crown Capital scheme
- By: James Langton
- June 10, 2014 December 19, 2017
- 16:30
IIROC staff seek review of two hearing panel decisions
OSC asked to review decisions related to Lucy Marie Pariak-Lukic
- By: James Langton
- June 10, 2014 December 19, 2017
- 16:20
Bank of England launches cybersecurity framework
CBEST set to boost the cyber defences of UK financial institutions
- By: James Langton
- June 10, 2014 December 19, 2017
- 14:30
OSC issues 2014 risk assessment questionnaire
Results will help regulator determine which portfolio managers, investment fund managers and EMDs will face compliance reviews
- By: James Langton
- June 10, 2014 December 19, 2017
- 10:30
FCA strengthens rules to protect client assets
The changes affect 1,500 firms that carry out investment business
- By: James Langton
- June 10, 2014 December 19, 2017
- 08:00
CIFPs 2014: The evolution of the investment industry and professional standards
Susan Wolburgh Jenah, president & CEO, Investment Industry Regulatory Organization of Canada (IIROC), discusses the evolution of the investment regulatory landscape, including how to broach…
- By: Susan Wolburgh Jenah
- June 9, 2014 October 21, 2019
- 17:00
SEC issues investor alert on lost or stolen securities
There have been episodes of cancelled certificates being stolen, and later turning up in securities fraud
- By: James Langton
- June 9, 2014 December 19, 2017
- 13:30