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
Latest news in From the Regulators
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
OSC bans FactorCorp director for misleading investors
Mark Twerdun facing over $1.4 million in sanctions
- By: James Langton
- October 1, 2013 December 19, 2017
- 14:55
SEC awards US$14 million to whistleblower
Tips helped recover millions in investor funds
- October 1, 2013 December 19, 2017
- 14:45
Columbian Ponzi scheme nets Canadian victims
SEC alleges Florida woman raise $4 million form invesotrs
- By: James Langton
- September 30, 2013 December 19, 2017
- 15:30
AMF warns about online ads
Ads pitching investments in African gold mine uncovered by cybersurveillance team
- By: James Langton
- September 30, 2013 December 19, 2017
- 14:25
IOSCO reports progress on implementation of principles to identify risk
Regulators review 31 jurisdictions including Alberta, Ontario and Quebec
- By: James Langton
- September 30, 2013 December 19, 2017
- 11:30
SEC obtains judgements in 22 corporate hijackings
Canadian woman ordered to pay US$1.1 million for her role
- By: James Langton
- September 27, 2013 December 19, 2017
- 15:55
Madoff accountant charged with aiding Ponzi scheme
SEC alleges Paul Konigsberg aided the falsification of books and records
- By: James Langton
- September 27, 2013 December 19, 2017
- 08:25
SEC charges ex-ChinaCast execs with fraud, insider trading
U.S. regulator alleges firm’s chairman illegally transferred millions
- By: James Langton
- September 26, 2013 December 19, 2017
- 14:00
First Leaside founders banned, fined
IIROC panel orders $2.7 million in sanctions
- By: James Langton
- September 26, 2013 December 19, 2017
- 11:35
CSA issues warning on cyber security
Denial of service and advanced persistent threat attacks have increased in frequency and sophistication
- By: James Langton
- September 26, 2013 December 19, 2017
- 10:30
IIROC mulls changes to trade confirmation disclosure requirements
Draft aims to consolidate guidance concerning marketplace disclosure and average price trade disclosure on trade confirmations
- By: James Langton
- September 25, 2013 December 19, 2017
- 13:55
U.S. CFTC closes silver market probe
No enforcement actions planned
- By: James Langton
- September 25, 2013 December 19, 2017
- 13:00
FCA finds poor complaints handling in mis-selling scandal
British regulator finds serious problems with customer complaint handling decisions at two thirds of firms reviewed
- By: James Langton
- September 25, 2013 December 19, 2017
- 09:55
AMF alleges illegal distributions of Millenia Hope securities
Quebec regulator seeking fines worth $1.7 million
- By: James Langton
- September 25, 2013 December 19, 2017
- 09:45
Action urged on curbing high frequency traders with early data
New York Attorney General calls traders with early data a growing threat
- By: James Langton
- September 25, 2013 December 19, 2017
- 07:00
Provinces to evaluate national regulator plan
Ministers agree to further improve existing provincial system
- By: James Langton
- September 24, 2013 December 19, 2017
- 16:05
U.S. regulators issue guidance on reporting financial abuse of older adults
Employees of financial firms may be able to spot transactions, activity, or behaviour that signals financial abuse
- By: James Langton
- September 24, 2013 December 19, 2017
- 11:55
Quebec threatens legal action to block national regulator
Marceau says feds are creating uncertainty that could undermine investor confidence
- By: James Langton
- September 24, 2013 December 19, 2017
- 09:30
Ontario AG recovers $17 million for victims of Ponzi scheme
Largest ever recovery under province’s civil forfeiture law
- By: James Langton
- September 24, 2013 December 19, 2017
- 08:30
Convicted fraudster banned from markets
Beryl Henderson must repay $474,000 to investors
- By: James Langton
- September 24, 2013 December 19, 2017
- 07:50