Montreal rep fined for off-book activities
Rep lied to his dealer when questioned about his outside business activities
- By: IE Staff
- March 11, 2014 December 19, 2017
- 15:00
Latest news in From the Regulators
FINRA warns of bitcoin fraud
Alert outlines risks surrounding digital currencies
- By: James Langton
- March 11, 2014 December 19, 2017
- 12:55
OSC proceeding with no contest settlements
Four new initiatives intended to strengthen and speed up enforcement
- By: James Langton
- March 11, 2014 December 19, 2017
- 11:00
AMF warns of offers from WCM777
Online scheme has bilked investors of US$10 million, regulator alleges
- By: James Langton
- March 11, 2014 December 19, 2017
- 08:50
OSFI issues reminder on earthquake exposure
P&C insurers will have to begin filing new data with the regulator on April 15
- By: James Langton
- March 10, 2014 December 19, 2017
- 13:25
IOSCO report compares prudential standards in the securities sector
Report highlights issues where regulators should consider whether their current practices are adequate to oversee and mitigate risk
- By: James Langton
- March 10, 2014 December 19, 2017
- 10:50
B.C. branch manager sanctioned for lax supervision
Former Canada Genuity branch manager fined $60,000
- By: IE Staff
- March 10, 2014 December 19, 2017
- 09:05
FINTRAC reminds dealers of obligations under Ukraine asset freeze
Firms should be aware of the prohibition under anti-money laundering rules on dealing with allegedly corrupt foreign officials from Ukraine
- By: James Langton
- March 9, 2014 December 19, 2017
- 15:00
OSC reprimands scholarship plan for compliance deficiencies
Knowledge First must file report by May 2015
- By: James Langton
- March 7, 2014 December 19, 2017
- 16:45
U.S. investor lawyers find fault with FINRA broker disclosures
PIABA says regulator omits information from BrokerCheck service
- By: James Langton
- March 6, 2014 December 19, 2017
- 15:30
Canada freezes assets of former Ukrainian officials
OSFI reminds banks of obligations
- By: James Langton
- March 6, 2014 December 19, 2017
- 14:40
FCA unveils crowdfunding rules
Industry critical of proposed 10% limit on equity crowdfunding investments for most retail investors
- By: James Langton
- March 6, 2014 December 19, 2017
- 12:30
IIROC issues guidance on underwriting
Proposed guidance details common due diligence practices
- By: James Langton
- March 6, 2014 December 19, 2017
- 11:50
SEC freezes assets of Mutual Wealth
Court order shuts down website of alleged pyramid scheme
- By: James Langton
- March 5, 2014 December 19, 2017
- 16:50
BCSC extends exemption for MIEs until 2015
Regulator to evaluate the impact of dealer registration requirements on MIEs
- By: James Langton
- March 4, 2014 December 19, 2017
- 16:55
CSA encourages Canadians to check registration of advisors
Check Registration Day is March 19
- By: James Langton
- March 4, 2014 December 19, 2017
- 13:30
UK firms still failing to manage sales incentive risks: FCA
Review finds 10% of firms are still using higher-risk incentive schemes
- By: James Langton
- March 4, 2014 December 19, 2017
- 10:20
MFDA offers tips on how to detect and avoid fraud
March is Fraud Prevention Month
- By: IE Staff
- March 3, 2014 December 19, 2017
- 16:50
Ontario man charged with fraud, forgery
Keith Summers, principal of Tricoastal Capital, facing OSC hearing following JSOT investigation
- By: James Langton
- March 3, 2014 December 19, 2017
- 16:20
MFDA calls for nominations
Nominees wanted for four regional councils
- By: James Langton
- March 3, 2014 December 19, 2017
- 15:30
OSC approves settlement with former head of MineralFields
Joe Dwek agrees to pay $200,000 for compliance deficiencies
- By: James Langton
- March 3, 2014 December 19, 2017
- 10:15
Ex-fund salesman fined $250,000
Former mutual fund salesman sold over $13 million in investments to clients without the knowledge or approval of his dealer firm
- By: Fiona Collie
- February 28, 2014 December 19, 2017
- 10:40
UK tightens rules for consumer credit
New rules will protect consumers from “rogue practices,” says FCA
- By: James Langton
- February 28, 2014 December 19, 2017
- 08:45
Central 1 critical to the financial system
Credit union will now face an enhanced regulatory and supervisory framework
- By: James Langton
- February 27, 2014 December 19, 2017
- 16:25
CSA answers CRM 2 questions
Notice answers questions regarding new cost and performance reporting and account statement requirements
- By: James Langton
- February 27, 2014 December 19, 2017
- 15:05