Exempt market dealer suspended
League Investment Services has filed for creditor protection in B.C.
- By: James Langton
- November 14, 2013 December 19, 2017
- 15:30
Latest news in From the Regulators
CSA electronic filing switchover delayed again
No new date given for transition to new service provider
- By: IE Staff
- November 14, 2013 December 19, 2017
- 14:00
IIROC revises consolidated enforcement rules
Revision aims to clarify proposed negligence standard
- By: James Langton
- November 14, 2013 December 19, 2017
- 12:40
OSC publishes final derivatives rule
New reporting requirements an important milestone for OTC derivatives reform
- By: James Langton
- November 14, 2013 December 19, 2017
- 10:55
MFDA issues warning on syndicated mortgages
Regulator maintains that syndicated mortgages are securities; reps must put this business through their fund dealers
- By: James Langton
- November 13, 2013 December 19, 2017
- 08:50
Obama nominates new CFTC head
Timothy Massad will replace Gary Gensler
- By: James Langton
- November 12, 2013 December 19, 2017
- 16:15
U.S. SROs agree to strengthen market infrastructure
Details of their proposals will be set out in rule filings and amendments subject to SEC approval
- By: James Langton
- November 12, 2013 December 19, 2017
- 11:30
OSFI issues draft revision of MCCSR guideline for life insurers
Comments due by Nov. 22
- By: James Langton
- November 8, 2013 December 19, 2017
- 15:40
Court denies appeal to stay BCSC proceedings
The applicants could pursue their appeal if the BCSC case against them succeeds
- By: James Langton
- November 8, 2013 December 19, 2017
- 12:50
Fraudster sentenced to nine months in jail
Howard Rash sold New Gold partnership units while under a cease trade order
- By: James Langton
- November 8, 2013 December 19, 2017
- 12:00
RCMP charge ex Onco Petroleum officers with fraud
Police allege pair filed a false prospectus, which led investors to lose millions
- By: James Langton
- November 7, 2013 December 19, 2017
- 15:10
CSA issues update on market data fees
Two options from last year’s consultation paper merit further exploration
- By: James Langton
- November 7, 2013 December 19, 2017
- 13:50
Compliance exams find problems: OSC
Regulator publishes annual compliance report covering EMDs, portfolio managers, and fund managers
- By: James Langton
- November 7, 2013 December 19, 2017
- 11:55
OSC reciprocates ASC ban
Vincenzo Sirianni permanently banned from trading, registration, and serving as a director or officer
- By: James Langton
- November 6, 2013 December 19, 2017
- 18:00
European regulators mull complaint handling guidelines
ESMA, EBA want a harmonized approach to handling complaints across the investment, banking and insurance sectors in Europe
- By: James Langton
- November 6, 2013 December 19, 2017
- 15:50
Toronto police charge former advisor with fraud
former Edward Jones advisor Harold Hee Jeen Ahn was fined $1 million by IIROC in 2011
- By: James Langton
- November 6, 2013 December 19, 2017
- 15:10
JSOT gains momentum
Barrie, Ont. man charged after investigation
- By: James Langton
- November 6, 2013 December 19, 2017
- 14:35
IIROC proposes changes to sanctions guidelines
Revisions aimed at promoting greater transparency
- By: James Langton
- November 6, 2013 December 19, 2017
- 12:15
Alberta rep fined $60,000 for KYC failings
Retire First rep failed to ensure that recommendations were suitable for his client
- By: IE Staff
- November 6, 2013 December 19, 2017
- 10:25
Court denies appeal of OSC decision
Court rejects argument that the transactions in question were actually loans, not a scheme to sell securities
- By: James Langton
- November 6, 2013 December 19, 2017
- 09:10
OSC announces roundtable on proxy voting
Panel will feature perspectives from issuers, investors and other financial industry stakeholders
- By: James Langton
- November 5, 2013 December 19, 2017
- 16:15
OSFI asks IASB for more time
Implementation of proposed changes to international accounting standards for insurance contracts requires a longer transition period
- By: James Langton
- November 5, 2013 December 19, 2017
- 12:05
British regulator aims to protect minority shareholders
Proposals would give them additional voting rights and greater influence
- By: James Langton
- November 5, 2013 December 19, 2017
- 11:35
SAC Capital agrees to plead guilty to insider trading
Hedge fund giant to pay US$1.8 billion penalty
- By: James Langton
- November 4, 2013 December 19, 2017
- 13:50
AMF shuts down unregistered derivatives scheme
Internet ads by DBSG guaranteed a 10% return per month
- By: James Langton
- November 1, 2013 December 19, 2017
- 15:45