POS disclosure should be free and concise: Report
Joint Forum report lists eight recommendations regarding POS disclosure for regulators and policymakers
- By: James Langton
- April 30, 2014 December 19, 2017
- 13:40
Latest news in From the Regulators
Registered rep fined $25,000
Advisor recommend and solicited investments for securities without the consent of his dealer member firm
- By: Fiona Collie
- April 30, 2014 December 19, 2017
- 13:05
Ontario man charged with unregistered trading, breaching cease trade orders
Vernon Smith facing second set of charges following OSC JSOT investigations
- By: James Langton
- April 29, 2014 December 19, 2017
- 14:45
NASAA issues investor advisory on virtual currency
Investments that incorporate virtual currency, such as Bitcoin, present very real risks
- By: James Langton
- April 29, 2014 December 19, 2017
- 09:30
Stress test rules for European banks announced
Bank will have up to nine months to cover capital shortfalls
- By: James Langton
- April 29, 2014 December 19, 2017
- 08:50
OSC reciprocates ASC trading ban
Sanctions imposed against David De Gouveia
- By: James Langton
- April 28, 2014 December 19, 2017
- 16:00
ASC reciprocates bans against FactorCorp, Mark Twerdun
OSC panel found investors were misled
- By: IE Staff
- April 28, 2014 December 19, 2017
- 10:00
OSFI issues advisory on Basel disclosure requirements
The federal regulator has also issued amended Capital Adequacy Requirements Guideline for banks
- By: James Langton
- April 25, 2014 December 19, 2017
- 13:10
Schwab fined US$500,000 for FINRA violations
Company dumps anti-class action stance after FINRA order
- By: James Langton
- April 25, 2014 December 19, 2017
- 13:05
Manitoba fund salesman fined $250,000
MFDA permanently bans Dennis Villarin
- By: Fiona Collie
- April 25, 2014 December 19, 2017
- 09:35
FINRA approves background checks for brokers
Amendments would expand firm’s obligations to verify the accuracy and completeness of info contained in applications for registration
- By: James Langton
- April 25, 2014 December 19, 2017
- 05:30
MFDA appoints members to key committee
PAC membership grows to 18
- By: James Langton
- April 24, 2014 December 19, 2017
- 15:30
IIROC consults on revisions to personal financial dealings with clients
Amendments balance the investor’s right to choose with the need to protect investors from conflicts of interest
- By: James Langton
- April 24, 2014 December 19, 2017
- 15:00
OSC removes conditions from Global RESP
Settlement accepted on supervisory failings
- By: IE Staff
- April 24, 2014 December 19, 2017
- 13:00
CSA seeks comment on guidance for proxy advisory firms
Proposed policy addresses conflicts of interest, transparency and accuracy
- By: James Langton
- April 24, 2014 December 19, 2017
- 12:30
NASAA finds fault with fee disclosure
Report raises concerns about broker-dealer fee practices
- By: James Langton
- April 24, 2014 December 19, 2017
- 11:40
IIROC proposes changes to oversight of electronic trading
Proposals aim to ensure that third-party electronic access to marketplaces is subject to supervision and regulatory oversight
- By: James Langton
- April 24, 2014 December 19, 2017
- 11:20
CSBS, NASAA release guidance on virtual currency
Regulators outlines risks consumers should consider when investing
- By: James Langton
- April 23, 2014 December 19, 2017
- 15:15
IIROC moving forward with HFT research
Two project teams chosen to assess the impact of HFT on Canadian equity markets
- By: James Langton
- April 23, 2014 December 19, 2017
- 09:10
IIROC introduces secure email service
OneWorld allows IIROC to encrypt email transmissions to dealers
- By: James Langton
- April 22, 2014 December 19, 2017
- 14:55
ASC reciprocates OSC bans
Richard Moore must cease trading in securities for 10 years
- By: IE Staff
- April 22, 2014 December 19, 2017
- 14:00
N.S. amendments improve investor protection
Reporting regime for derivatives introduced
- By: IE Staff
- April 22, 2014 December 19, 2017
- 11:30
OSC settles Bridgewater insider trading case
Information provided inadvertently by Bridgewater employee
- By: James Langton
- April 17, 2014 December 19, 2017
- 15:15
OSC amends Trade Repositories and Derivatives Data Reporting Rule
The amendments push back the effective date of reporting obligations
- By: James Langton
- April 17, 2014 December 19, 2017
- 12:30
OSC settles with Global RESP and officers
Scholarship plan dealer CEO, Issam El-Bouji, ordered to disgorge almost $2 million
- By: James Langton
- April 16, 2014 May 25, 2018
- 16:40