British regulator to publish warning notices
FCA to announce when firms are under investigation
- By: James Langton
- October 15, 2013 December 19, 2017
- 11:30
Latest news in From the Regulators
Insurance regulators plan global capital standard
IAIS is committed to develop by 2016 risk-based capital rules for major insurers
- By: James Langton
- October 15, 2013 December 19, 2017
- 10:15
FINRA to investors: Know what you’re buying
Alert provides a series of practical steps investors should take before investing
- By: James Langton
- October 11, 2013 December 19, 2017
- 13:50
MFDA to conform with CRM reforms
Amendments would revise rules to mirror the CSA’s CRM 2 requirements on relationship disclosure, transaction fees and trade confirmations
- By: James Langton
- October 11, 2013 December 19, 2017
- 10:20
Exempt market dealer banned, ordered to disgorge $1.8 million
OSC bans Gentree Asset Management and its chief compliance officer for improperly distributing securities and misleading investors
- By: James Langton
- October 11, 2013 December 19, 2017
- 10:00
CFDs to be sold without a prospectus: OSC
CMC Markets will provide investors with a plain language risk disclosure document
- By: James Langton
- October 10, 2013 December 19, 2017
- 14:10
OSC revokes registration of exempt market dealer
FCPF Corp. traded securities while its registration was suspended
- By: James Langton
- October 10, 2013 December 19, 2017
- 13:30
OSC exempts SEFs from having to register as exchanges
Swap execution facilities are marketplaces for trading swaps in the U.S
- By: James Langton
- October 10, 2013 December 19, 2017
- 12:40
FINRA releases advocate’s guide to helping fraud victims
The new guide is designed for consumer advocates, lawyers, counselors and others that help victims of financial fraud
- By: James Langton
- October 10, 2013 December 19, 2017
- 07:15
Results of continuous disclosure reviews ‘mostly satisfactory’: AMF
312 investment funds faced one or more full, or issue-oriented reviews
- By: James Langton
- October 10, 2013 December 19, 2017
- 07:00
SEC launches market structure website
SEC to publicly share data, research, and analysis as the agency continues its review of equity market structure
- By: James Langton
- October 9, 2013 December 19, 2017
- 11:50
Ohio securities commissioner to lead NASAA
Andrea Seidt says the North American Securities Administrators Association will continue to focus on “smarter regulation”
- By: James Langton
- October 9, 2013 December 19, 2017
- 08:30
OSC Dialogue: Crime unit getting results
The partnership formed between police and the OSC as helped to put 15 people in jail
- By: Fiona Collie
- October 8, 2013 December 19, 2017
- 15:20
OSC Dialogue: Guiding investor and advisor behaviour
Regulators could employ behavioural economics to improve investor protection: panel
- By: James Langton
- October 8, 2013 December 19, 2017
- 14:00
Saskatchewan regulator proposes crowdfunding exemption
Investors would be limited to making $1,500 investments
- By: James Langton
- October 7, 2013 December 19, 2017
- 14:10
CSA to delay online filing migration
Switch to hosting by CGI postponed until Dec. 2
- By: James Langton
- October 7, 2013 December 19, 2017
- 14:00
OSC bans convicted fraudster
Michael Chomica is serving time for advance fee frauds
- By: James Langton
- October 4, 2013 December 19, 2017
- 14:00
Ex PFSL branch manager fined $300,000
Ricardo Cavalli sold exempt securities to clients without using or notifying the firm
- By: IE Staff
- October 4, 2013 December 19, 2017
- 13:20
Swiss launch forex investigation
Regulators reviewing possible manipulation of foreign exchange markets
- By: James Langton
- October 4, 2013 December 19, 2017
- 08:30
More ABCP funds distributed to investors
Over $1 million collected from Deutsche Bank Securities has been distributed to investors
- By: IE Staff
- October 3, 2013 December 19, 2017
- 16:15
CSA extends exemption for relationship disclosure compliance
New deadline for investment dealers is March 26, 2014
- By: James Langton
- October 3, 2013 December 19, 2017
- 13:15
CSA adopts changes for funds transitioning to IFRS
Investment funds must apply the changes for financial years beginning on or after Jan. 1, 2014
- By: IE Staff
- October 3, 2013 December 19, 2017
- 11:20
OSC mulls sanctions for Tang
Weizhen Tang was convicted in 2012 for defrauding investors in Canada, the U.S. and China
- By: James Langton
- October 3, 2013 December 19, 2017
- 08:30
MFDA publishes client information sheet
Brochure explains the need to collect personal information from clients
- By: James Langton
- October 2, 2013 December 19, 2017
- 15:25