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
Latest news in From the Regulators
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
New leader for OSC Investor Advisory Panel
Connie Craddock succeeds Paul Bates; four new members appointed to panel
- By: James Langton
- November 1, 2013 December 19, 2017
- 09:35
Unregistered advisors, illegal distributions the biggest enforcement issues: NASAA
North American Securities Administrators Association publishes its annual enforcement survey
- By: James Langton
- October 31, 2013 December 19, 2017
- 15:50
OSC bans former fund rep
The ban reciprocates sanctions imposed by the BCSC after it found that Basi committed fraud
- By: James Langton
- October 31, 2013 December 19, 2017
- 13:20
OSC makes electronic filing mandatory
Rule expected to come into force in February 2014
- By: James Langton
- October 31, 2013 December 19, 2017
- 13:00
CSA plans more consultations on proxy voting
Topics to be selected from comments submitted
- By: James Langton
- October 31, 2013 December 19, 2017
- 11:50
Regulators must enforce OBSI recommendations: IAP
Investment firm’s refusal of OBSI’s recommendation for compensation prompts OSC Investor Advisory Panel to demand more from regulators
- By: James Langton
- October 31, 2013 December 19, 2017
- 11:00
Basel toughens capital rules for banks’ trading books
Second consultation paper sets out more detailed proposals
- By: James Langton
- October 31, 2013 December 19, 2017
- 08:35
SEC rewards whistleblower
US$150,000 reward represents 30% of the money collected by the SEC in its enforcement action
- By: James Langton
- October 30, 2013 December 19, 2017
- 15:00
IOSCO urges implementation of principles for financial benchmarks
Communique encourages benchmark administrators “to take all the necessary measures to comply”
- By: James Langton
- October 30, 2013 December 19, 2017
- 13:50
FCA mulls action on research costs
UK regulator calla for greater transparency in asset management sector
- By: James Langton
- October 30, 2013 December 19, 2017
- 11:30
IIROC launches financial designations glossary
New resource helps investors understand what certifications mean and how advisors achieve them
- By: James Langton
- October 30, 2013 December 19, 2017
- 10:35