EMD compliance head to face OSC hearing
Reviews of three firms raised “significant concerns”, regulator says
- By: James Langton
- December 2, 2013 December 19, 2017
- 14:00
Latest news in From the Regulators
Canaccord Genuity fined $750,000
Firm failed to properly supervise advisors and identify accredited investors purchasing private placements
- By: Fiona Collie
- December 2, 2013 December 19, 2017
- 11:10
Insurance regulators launch disciplinary actions database
Single database improves access for consumers and industry stakeholders
- By: IE Staff
- December 2, 2013 December 19, 2017
- 09:30
OSC focusing on fund fees
Prospectus reviews focusing on disclosure of fees and expenses, investment objectives and strategies, and conflicts of interest
- By: James Langton
- December 2, 2013 December 19, 2017
- 08:40
TSX advances amid strong growth reading
U.S. markets close early
- By: Malcolm Morrison
- November 29, 2013 December 19, 2017
- 16:50
IOSCO launches web portal on markets stats
Tool a first step in process to offer critical information on securities markets to the public
- By: James Langton
- November 28, 2013 December 19, 2017
- 16:00
OSFI issues draft guideline on monitoring bank liquidity
Draft reflects Basel Committee’s guidance on monitoring tools for intraday liquidity management
- By: James Langton
- November 28, 2013 December 19, 2017
- 15:10
BCSC alleges analyst engaged in insider trading
Robert Launder sold 5,000 Baja Mining shares before a news release detailing a $246 million cost overrun was made public
- By: James Langton
- November 28, 2013 December 19, 2017
- 14:30
OSC lifts final condition on CEFI registration
Consultant helped scholarship plan dealer meet the regulator's recommendations
- By: James Langton
- November 27, 2013 December 19, 2017
- 16:45
NSSC reaches settlement with HWL and A.C.T
Both firms conducted trading activity without proper registration
- By: James Langton
- November 27, 2013 December 19, 2017
- 14:30
BCSC alleges scheme used to conceal ownership stake in OTCBB company
Share sales of Clean Power Concepts reached $21.5 million
- By: James Langton
- November 26, 2013 December 19, 2017
- 18:30
Former securities rep charged
Ontario woman accused of forging NRD employment record to hide dismissal from firm
- By: James Langton
- November 25, 2013 December 19, 2017
- 16:25
IIROC finalizes guidance on trade confirmations
Dealers allowed to use the same disclosure on all trade confirmations
- By: James Langton
- November 25, 2013 December 19, 2017
- 14:25
OSFI focused on banks’ mortgage lending
Regulator aims to ensure that banks follow prudent mortgage lending practices
- By: James Langton
- November 25, 2013 December 19, 2017
- 13:50
FCA proposes new guidance on dealing commissions
Proposals are intended to ensure that the commissions investment managers pay for executing trades are fairer and more transparent
- By: James Langton
- November 25, 2013 December 19, 2017
- 10:25
NASAA supports fiduciary standard for broker-dealers
Many U.S. investors confused about which type of financial professional to retain
- By: James Langton
- November 22, 2013 December 19, 2017
- 15:00
HFT and volatility: questions remain
IIROC shares results from third phase of study on high frequency trading
- By: Fiona Collie
- November 21, 2013 December 19, 2017
- 16:45
TD Waterhouse cleared to use Fund Facts
The CSA has encouraged dealers to file applications to allow the early use of Fund Facts disclosure
- By: James Langton
- November 21, 2013 December 19, 2017
- 15:50
CSA proposes new prospectus exemption
Exemption would give venture firms easier access to capital, and investors a cheaper way to acquire additional securities
- By: James Langton
- November 21, 2013 December 19, 2017
- 14:40
OSC reminds firms to file exempt market reports on time
These reports are the regulator’s primary source of information about exempt market activity
- By: James Langton
- November 21, 2013 December 19, 2017
- 14:30
Greater concentration, innovation pose challenges for market regulators
Increased competition and technology are drivers for exchange concentration, says OSC chairman
- By: Fiona Collie
- November 21, 2013 December 19, 2017
- 14:00
FSB strengthens risk management supervision
Feedback on proposed guidance due Jan. 31
- By: James Langton
- November 18, 2013 December 19, 2017
- 14:40
MF Global to pay US$1.21 billion restitution to customers
Judge imposes US$100 million penalty following CFTC complaint
- By: James Langton
- November 18, 2013 December 19, 2017
- 14:15
CFTC aligns SIDCO rules with international standards
Derivatives clearing firms can continue to qualify as central counterparties
- By: James Langton
- November 15, 2013 December 19, 2017
- 16:30
Systematech pair sanctioned by OSC for illegal distributions
April Vuong and Hao also face criminal charges
- By: James Langton
- November 15, 2013 December 19, 2017
- 12:40