CSA proposes changes to prospectus exemptions
Regulators propose reforms to the accredited investor and minimum amount exemptions
- By: James Langton
- February 27, 2014 December 19, 2017
- 13:25
Latest news in From the Regulators
AMF issues warning on foreign exchange investments
Quebec investors were promised a return for investments related to the Iraqi dinar and Vietnamese dong
- By: James Langton
- February 27, 2014 December 19, 2017
- 09:40
OSC to consider settlement with former firm head
Regulator alleges compliance deficiencies at three firms headed by Joe Dwek
- By: James Langton
- February 26, 2014 December 19, 2017
- 15:20
FINTRAC fines Questrade
Discount brokerage sanctioned for violating anti-money laundering regulations
- By: James Langton
- February 26, 2014 December 19, 2017
- 14:20
U.S. agency calls on banks to monitor Yanukovich’s assets
Guidance focuses potentially suspicious transactions involving senior members of the deposed Ukraine leader’s administration
- By: James Langton
- February 26, 2014 December 19, 2017
- 14:00
Quebec man guilty of illegal distributions
Enrico Bruni fined $18,000 for illegal sale of investment vehicles related to Norshield Group
- By: James Langton
- February 26, 2014 December 19, 2017
- 11:50
Fed to release bank stress test results on March 20
CCAR results to be released on March 26
- By: James Langton
- February 25, 2014 December 19, 2017
- 16:00
OSC reciprocates Alberta bans
TransCap and Strata-Trade misled investors in Ponzi scheme
- By: James Langton
- February 24, 2014 December 19, 2017
- 15:50
Quebec mining firm, CEO fined for illegal distributions
AMF investigation finds investors not qualified for prospectus exemptions
- By: James Langton
- February 24, 2014 December 19, 2017
- 15:10
FINRA fines firm for lax supervision of complex ETFs
Berthel Fisher, Securities Management & Research consent to regulator’s findings
- By: James Langton
- February 24, 2014 December 19, 2017
- 11:55
AMF issues warning about Affluential Group
The Quebec regulator is warning investors about solicitations made through online ads by unregistered firm
- By: James Langton
- February 24, 2014 December 19, 2017
- 10:45
Credit Suisse to pay US$196 million fine
Swiss bank settles with SEC over serving U.S. clients without proper registration
- By: James Langton
- February 21, 2014 December 19, 2017
- 14:20
Extended deadline for Madoff victims
Victims of Madoff now have until the end of April to claim compensation
- By: James Langton
- February 21, 2014 December 19, 2017
- 09:55
IIROC withdraws proposed financial planning rule
Regulator cites Ontario consultation, desire for a coordinated approach
- By: James Langton
- February 20, 2014 December 19, 2017
- 14:50
OSC offers fee relief for smaller firms
One-time relief on participation fees for small dealers, portfolio managers and reporting issuers
- By: James Langton
- February 20, 2014 December 19, 2017
- 13:30
CSA enforcement activity down in 2013
Regulators using advanced technologies to combat illegal activities
- By: James Langton
- February 20, 2014 December 19, 2017
- 12:35
IIROC uncovers inappropriate retail leverage strategies
New guidance reminds advisors about their suitability obligations
- By: James Langton
- February 19, 2014 December 19, 2017
- 13:20
U.S. strengthens supervision of banks
The tougher standards include measures focusing on liquidity, risk management, and capital
- By: James Langton
- February 18, 2014 December 19, 2017
- 17:00
Industrial Alliance to pay $165,000 fine
AMF reaches settlement with insurer for alleged sales violations
- By: James Langton
- February 18, 2014 December 19, 2017
- 14:20
FSCO suspends insurance agent
Agent suspended nine months for forging a letter to a client
- By: James Langton
- February 18, 2014 December 19, 2017
- 13:55
SEC to host cybersecurity roundtable
March 26 meeting to discuss issues and challenges facing financial firms and public companies
- By: James Langton
- February 14, 2014 December 19, 2017
- 15:35
ASC reciprocates bans against Beryl Henderson
Convicted fraudster illegally sold $474,000 in securities of Go Sports Entertainment
- By: IE Staff
- February 14, 2014 December 19, 2017
- 12:25
FSB to review foreign exchange benchmarks
Group is planning to produce recommendations for the next G20 summit in Brisbane
- By: James Langton
- February 14, 2014 December 19, 2017
- 11:30
Annuities market is not working, says British regulator
Eight of 10 people could get a more generous retirement income by shopping around: study
- By: James Langton
- February 14, 2014 December 19, 2017
- 09:20