IOSCO report aims to encourage investor education, financial literacy
New strategic framework will guide efforts by other regulators in developing investor education initiatives
- By: James Langton
- May 29, 2014 December 19, 2017
- 09:05
Latest news in From the Regulators
Suitability review finds room for improvement: FSCO
Many advisors are failing to appropriately document sales activities
- By: Megan Harman
- May 28, 2014 December 19, 2017
- 13:10
IOSCO seeks input on strategic plan
The group of global securities regulators is surveying stakeholders for their views
- By: IE Staff
- May 28, 2014 December 19, 2017
- 12:30
Pro-Financial ordered to suspend distribution of index funds
OSC says there remains a discrepancy in the records of certain principal-protected notes
- By: James Langton
- May 28, 2014 December 19, 2017
- 07:50
OSC issues investor alert on GSA Settlements
York Rio investors contacted about purported settlement fund account
- By: James Langton
- May 27, 2014 December 19, 2017
- 12:35
IIROC announces third project team to study impact of HFT
Experts to study HFT impact on market quality and integrity
- By: James Langton
- May 27, 2014 December 19, 2017
- 11:30
Whistleblower programs attract false claims: SEC
Claimant has filed almost 200 applications seeking rewards
- By: James Langton
- May 26, 2014 December 19, 2017
- 15:00
CTI Securities fined $25,000
Advisor engaged in “free-riding”
- By: IE Staff
- May 26, 2014 December 19, 2017
- 14:20
BCSC launches redesigned website
Better navigation and improve access for market participants and investors
- By: IE Staff
- May 26, 2014 December 19, 2017
- 07:40
FCNB orders Texas Energy Mutual to cease trading
Unregistered firm settles with New Brunswick regulator
- By: James Langton
- May 23, 2014 December 19, 2017
- 13:15
Barclays fined $48 million over gold fix
Former trader banned for mistakes relating to the way that the gold price is fixed in London
- By: James Langton
- May 23, 2014 December 19, 2017
- 09:10
Former advisors fined $100,000
Clients lost $6.7 million on failed investment strategy program
- By: Fiona Collie
- May 22, 2014 December 19, 2017
- 16:00
IIROC releases 2013 exemption report
378 exemptions from proficiency requirements granted
- By: James Langton
- May 22, 2014 December 19, 2017
- 12:45
CSA moves to ease venture issuer disclosure
Proposed amendments designed to streamline disclosure requirements so venture issuers can focus more on the growth of their businesses
- By: James Langton
- May 22, 2014 December 19, 2017
- 10:30
Make OBSI compensation recommendations binding: IAP
Investor Advisory Panel calls on OSC to address refusals by firms to accept the Ombudsman’s recommendations
- By: James Langton
- May 22, 2014 December 19, 2017
- 08:15
Sask. regulators issue warning on TradeRush
Binary options firm not registered
- By: James Langton
- May 21, 2014 December 19, 2017
- 15:35
FSCO revokes agent’s license
Employer discovered issues with handling of client funds
- By: James Langton
- May 21, 2014 December 19, 2017
- 14:00
OSC mulls reciprocating Connecticut order
Hearing to consider allegations of unregistered selling of securities by Ontario-based Powerwater and its CEO
- By: James Langton
- May 21, 2014 December 19, 2017
- 13:00
OSFI report outlines life insurers’ key concerns
Firms worried about current and future capital requirements for life insurers
- By: James Langton
- May 21, 2014 December 19, 2017
- 10:20
CFTC issues first reward under new whistleblower program
Unnamed whistleblower will receive approximately US$240,000
- By: James Langton
- May 20, 2014 December 19, 2017
- 12:55
AMF, CISRO working on uniform national proficiency standard
The project is integrating the current Life Licence Qualification Program and Quebec programs
- By: James Langton
- May 20, 2014 December 19, 2017
- 11:30
SEC warns investors about marijuana-related investments
U.S. regulator suspends microcap FusionPharm
- By: IE Staff
- May 16, 2014 December 19, 2017
- 10:10
CSA publishes proposed changes to Order Protection Rule
Amendments are intended to strike a better balance between costs and benefits
- By: James Langton
- May 15, 2014 December 19, 2017
- 09:50
American, British regulators fine brokerage for rigging LIBOR
RP Martin fined US$2.2 million for attempted manipulation of benchmark interest rates
- By: James Langton
- May 15, 2014 December 19, 2017
- 08:00
OSC will limit evidence at NSI sanctions hearing
The regulator will limit evidence that Northern Securities and Vic Alboini can give at June hearing
- By: James Langton
- May 14, 2014 December 19, 2017
- 16:30