Bankrupt hedge fund manager Quadrexx facing fraud allegations
OSC alleges money raised from investors was used to pay dividends
- By: James Langton
- February 3, 2014 December 19, 2017
- 17:25
Latest news in From the Regulators
Ex-advisor fined $100,000
Former Vancouver advisor purchased securities without a client’s knowledge, IIROC panel finds
- By: Fiona Collie
- February 3, 2014 December 19, 2017
- 16:10
OSC orders trading and registration ban for gifting scheme
Donation scam raised roughly $2.3 million from investors
- By: James Langton
- February 3, 2014 December 19, 2017
- 15:25
Ontario pair charged with securities fraud
JSOT investigation of U.S. penny stocks leads to charges
- By: James Langton
- February 3, 2014 December 19, 2017
- 13:40
Deadline extended for more provinces to join national regulator
B.C., Ontario and the federal government continue to move forward with co-operative regulator
- By: James Langton
- January 31, 2014 December 19, 2017
- 18:15
N.B. FCSC warns investors of California scheme
Cease trade orders issued in Massachusetts and California against World Capital Market, aka WCM777
- By: James Langton
- January 31, 2014 December 19, 2017
- 14:10
BCSC issues reciprocal orders
Enforcement orders issued against 18 individuals sanctioned by other provinces
- By: James Langton
- January 30, 2014 December 19, 2017
- 17:10
UK advisor banned for faking RDR qualification documents
Forged certificates meant to show that the advisor had met the standards imposed by Retail Distribution Review
- By: James Langton
- January 30, 2014 December 19, 2017
- 09:30
IOSCO publishes recommendations for the protection of client assets
Report sets out eight principles to enhance supervision
- By: James Langton
- January 29, 2014 December 19, 2017
- 11:40
‘Recovery room’ scheme targeting Morgan Dragon investors: ASC
Thailand firm purportedly contacting investors
- January 28, 2014 December 19, 2017
- 15:55
SEC flags due diligence failings on hedge fund recommendations
Risk alert examines the due diligence advisors use when they put clients into alternative investments
- By: James Langton
- January 28, 2014 December 19, 2017
- 13:50
FCSC launches public awareness campaign
N.B. financial regulator creates new consumer website
- By: IE Staff
- January 28, 2014 December 19, 2017
- 09:50
ASC aims to improve how investigators receive records
New rule sets requirements for providing electronic records
- By: James Langton
- January 27, 2014 December 19, 2017
- 17:00
IOSCO fight against financial misconduct gains another ally
100th signatory of MMoU a significant milestone
- By: James Langton
- January 24, 2014 December 19, 2017
- 16:00
CSA narrows focus of ABCP reforms
Comprehensive reforms initially sought are not necessary, regulators say
- By: James Langton
- January 23, 2014 December 19, 2017
- 12:30
Vancouver rep made unsuitable recommendations: IIROC
Separate hearing to determine penalty
- By: Fiona Collie
- January 22, 2014 December 19, 2017
- 11:55
B.C. insurance regulator suspends agent
Part-time agent’s improper use of database results in 18-month suspension
- By: James Langton
- January 21, 2014 December 19, 2017
- 14:40
OSC case against Money Plus to proceed
Allegations of bias dismissed
- By: James Langton
- January 21, 2014 December 19, 2017
- 14:00
OSFI proposes early notice for new execs
Firms would be required to notify OSFI of pending changes to their senior management and boards
- By: James Langton
- January 20, 2014 December 19, 2017
- 13:50
OSC seeks members for Small and Medium Enterprises Committee
SMEC members will be expected to provide input the impact of possible new prospectus exemptions that are being considered by the OSC
- By: James Langton
- January 20, 2014 December 19, 2017
- 12:30
Court rules damage insurance consultants must register with AMF
The practice of damage insurance consultants includes activities that are reserved for registered firms and representatives
- By: James Langton
- January 20, 2014 December 19, 2017
- 12:00
Broker fined $100,000 for breaching suitability rules
BCSC panel rules out suspension for Victoria broker Carolann Steinhoff
- By: IE Staff
- January 17, 2014 December 19, 2017
- 17:20
IIROC sanctions against dealers rose sharply in 2013
Meanwhile sanctions ordered against individuals dropped significantly
- By: James Langton
- January 17, 2014 December 19, 2017
- 16:50
Nova Scotia grants exemption to community funds
Community Economic Development Investment Funds, which are run by non-professional managers, are intended to encourage capital raising by small, community based issuers
- By: James Langton
- January 17, 2014 December 19, 2017
- 16:00
AMF to fund six financial education programs
Quebec regulator to offer $400,000 in support form the Education and Good Governance Fund
- By: James Langton
- January 17, 2014 December 19, 2017
- 08:40