OSC issues penalties against Khodjaiants and Dubinsky
Pair ordered to cease trading for 15 years, disgorge US$1 million
- By: James Langton
- January 16, 2014 December 19, 2017
- 16:30
Latest news in From the Regulators
CSA proposes rules for central counterparty clearing
Regulators aim to boost the protection of customer collateral and positions, and to increase the resilience of derivatives clearing agencies
- By: James Langton
- January 16, 2014 December 19, 2017
- 13:25
OSC moving ahead with diversity disclosure
Proposed amendments would require firms to report on efforts to include women on corporate boards
- By: James Langton
- January 16, 2014 December 19, 2017
- 10:50
Counterparty risk assessments fall short: SSG
Despite some progress, current assessment practices for counterparty risk fails to meet regulators’ expectations
- By: James Langton
- January 15, 2014 December 19, 2017
- 13:20
Basel issues new anti-money laundering guidelines
Global bank regulators issued new guidelines today that aim to ensure banks are adequately managing risks related to money laundering and terrorist financing. The Basel…
- By: James Langton
- January 15, 2014 December 19, 2017
- 13:05
IIROC lists its 2014 priorities
Report outlines new initiatives including guidance for working with senior investors
- By: James Langton
- January 14, 2014 December 19, 2017
- 15:20
New compliance projects for MFDA
Regulator plans to examine cost sharing agreements and reps selling syndicated mortgages
- By: James Langton
- January 14, 2014 December 19, 2017
- 13:20
Dilution of Basel leverage ratio assists trading banks: Fitch
Revisions make it easier for banks to meet their leverage ratio requirements
- By: James Langton
- January 14, 2014 December 19, 2017
- 11:10
FINRA warns of marijuana stock scams
The legalization of marijuana for medical and recreational purposes is getting attention from scammers
- By: James Langton
- January 14, 2014 December 19, 2017
- 09:30
Regulators plan new oversight for CDOR
OSFI will take responsibility for supervising rate governance and risk controls, in wake of LIBOR manipulation
- By: James Langton
- January 13, 2014 December 19, 2017
- 13:00
Rep recommended off-book investments: IIROC
Ontario rep relied on second-hand information from her husband that an investment qualified for exempt status
- By: Fiona Collie
- January 13, 2014 December 19, 2017
- 12:30
IIROC updates guidance on outsourcing, clearing
Regulator spells out its expectations for the due diligence that firms must carry out before outsourcing any activity
- By: James Langton
- January 13, 2014 December 19, 2017
- 11:50
New Basel III rules move forward
GHOS recently approved changes for more standardized accounting processes
- By: James Langton
- January 13, 2014 December 19, 2017
- 10:30
BCSC warns of binary options trading platforms
Offshore trading platforms are unregistered and unregulated
- By: James Langton
- January 10, 2014 December 19, 2017
- 16:00
OSC stays EMD suspension order
Investor alert against Sterling Grace rescinded
- By: James Langton
- January 9, 2014 December 19, 2017
- 17:05
SEC sets 2014 compliance exam priorities
U.s. regulator to focus on fraud and sales practices, among other issues
- By: James Langton
- January 9, 2014 December 19, 2017
- 16:30
IIROC revises proposed debt transaction reporting rule
The changes are aimed at enabling more effective oversight of debt trading
- By: James Langton
- January 9, 2014 December 19, 2017
- 14:30
CSA issues KYC guidance for EMDs and portfolio managers
The regulator’s goal is to enhance overall compliance at firms that don’t belong to a self-regulatory organization
- By: James Langton
- January 9, 2014 December 19, 2017
- 13:00
OSC announces agenda for proxy voting roundtable
Panels to discuss vote reconciliation and end-to-end vote confirmation
- By: James Langton
- January 9, 2014 December 19, 2017
- 08:30
FSB, IOSCO widen net for too big to fail firms
Regulators proposed methods for identifying systemically important asset managers and brokerage firms
- By: James Langton
- January 8, 2014 December 19, 2017
- 15:00
Zietsoff banned over multimillion dollar securities fraud
The Ponzi scheme took in about $15.3 million from more than 80 victims in Canada and the U.S
- By: James Langton
- January 7, 2014 December 19, 2017
- 13:50
Winick’s girlfriend part of fraud: OSC
Regulator says Andrea McCarthy acquiesced to fraud by BFM Industries Inc. and Liquid Gold International Inc.
- By: James Langton
- January 6, 2014 December 19, 2017
- 13:55
CSA announces cutover date for online filing
CGI to take over responsibility of hosting SEDAR, SEDI and NRD on Jan. 13
- By: James Langton
- January 3, 2014 December 19, 2017
- 11:40
FINRA sets 2014 regulatory and exam priorities
Concerns about suitability top the list
- By: James Langton
- January 2, 2014 December 19, 2017
- 14:00