IIROC backs away from odd lot trades
The regulator is discontinuing its former practice of cancelling or varying certain odd lot trades
- By: James Langton
- December 11, 2013 December 19, 2017
- 08:00
Latest news in From the Regulators
U.S. regulators approve Volcker rule
The rule seeks to stop banks from taking the kind of trading risks that led to the 2008 financial crisis
- By: James Langton
- December 10, 2013 December 19, 2017
- 15:00
IIROC compliance report outlines key priorities
Compliance reviews in 2014 to focus on CRM 2 reforms, conflicts of interest and social media usage
- By: James Langton
- December 10, 2013 December 19, 2017
- 11:40
Pair charged with unregistered trading, breaching OSC order
Charges follow JSOT investigation
- By: James Langton
- December 9, 2013 December 19, 2017
- 16:30
OSC to host derivatives seminar
The seminar will cover reporting requirements for OSC Rule 91-506
- By: IE Staff
- December 9, 2013 December 19, 2017
- 11:40
Vancouver rep fined $20,000
Rep failed to conduct proper due diligence of shares held in a client’s account
- By: Fiona Collie
- December 9, 2013 December 19, 2017
- 10:15
MFDA approves three industry directors
Rule amendments approved at annual general meeting
- By: James Langton
- December 6, 2013 December 19, 2017
- 16:20
Saskatchewan approves equity crowdfunding
Companies allowed to raise $150,000 twice per year; investors limited to risking $1,500 per offering
- By: James Langton
- December 6, 2013 December 19, 2017
- 14:30
OSC, CPAB agree to share information
Agencies working to support higher quality auditing and investor confidence in financial reporting
- By: James Langton
- December 5, 2013 December 19, 2017
- 15:10
CSA proposes changes to registration rules
The proposed amendments aim to improve compliance and investor protection
- By: James Langton
- December 5, 2013 December 19, 2017
- 12:40
Supreme Court defers to BCSC in trading ban case
Financial advisor Patricia McLean has lost her bid to avoid multiple sanctions by provincial securities commissions
- By: Jim Middlemiss
- December 5, 2013 December 19, 2017
- 12:00
OSC plans four new exemptions
Ontario regulator supports CSA proposal for an existing shareholder exemption
- By: James Langton
- December 4, 2013 December 19, 2017
- 12:00
IIROC issues guidance on DEA, routing arrangements
Changes to trading rules take effect in March
- By: James Langton
- December 3, 2013 December 19, 2017
- 14:55
OSC issues penalties in illegal distributions case
Majestic, Suncastle fined, permanently banned
- By: James Langton
- December 2, 2013 December 19, 2017
- 16:15
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
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