BCSC beefs up efforts to fight abusive trading in U.S. OTC markets
Proposed amendments would prevent dealers from trading in jurisdictions where regulators aren't committed to co-operation
- By: James Langton
- October 29, 2013 December 19, 2017
- 16:20
Latest news in From the Regulators
BCSC finds man committed forex fraud
Forex trader lost half of investors’ funds and spent or pocketed the rest
- By: IE Staff
- October 29, 2013 December 19, 2017
- 14:20
FINRA explains closed-end funds
Alert outlines what closed-end funds are, and how they differ from traditional mutual funds
- By: James Langton
- October 28, 2013 December 19, 2017
- 15:55
Three firms settle SEC charges over custody violations
Firms agree to US$900,000 in penalties and disgorgement
- By: James Langton
- October 28, 2013 December 19, 2017
- 14:10
OSFI issues cyber security self-assessment guide
With cyber attacks becoming more frequent and more sophisticated, security measures are becoming more important
- By: James Langton
- October 28, 2013 December 19, 2017
- 12:50
Toronto man charged in $7 million forex fraud
Victims were convinced to invest in a pool of funds to be traded in the foreign-currency exchange market
- By: James Langton
- October 28, 2013 December 19, 2017
- 09:55
W.H. Stuart claims near $8 million mark
It’s not yet clear how much the MFDA’s Investor Protection Corp. may have to pay out
- By: James Langton
- October 25, 2013 December 19, 2017
- 15:50
BCSC issues lifetime ban against B.C. promoter for fraud
Cho ordered to pay $200,000 penalty
- By: IE Staff
- October 25, 2013 December 19, 2017
- 14:25
FSCO denies life licence
Ontario man failed to disclose previous investment industry sanctions
- By: James Langton
- October 25, 2013 December 19, 2017
- 11:20
OSC warns about SUNS Group
Investment fund firm not registered in Ontario
- October 25, 2013 December 19, 2017
- 11:10
OSC rejects motion to summon 700 witnesses
Money Plus respondents sought to examine hundreds of account holders as part of their defence
- By: James Langton
- October 24, 2013 December 19, 2017
- 16:05
CTFC levies record US$1.7 billion in sanctions
U.S. regulator releases enforcement division’s annual results
- By: James Langton
- October 24, 2013 December 19, 2017
- 15:20
Fed proposes new liquidity rules for big banks
Proposal aimed at helping banks withstand a credit crunch and preventing another financial crisis
- By: James Langton
- October 24, 2013 December 19, 2017
- 11:45
OSC issues warning on YoutradeFX
Regulators in B.C. and Quebec issued warnings about firm back in 2011
- By: James Langton
- October 24, 2013 December 19, 2017
- 10:00
British regulator launches crowdfuding consultation
FCA proposing to revise trules to ensure investors must be informed of risks, and be able to withstand possible losses
- By: James Langton
- October 24, 2013 December 19, 2017
- 08:50
SEC sanctions three firms for ignoring compliance problems
The firms had been previously warned about compliance deficiencies but failed to effectively act upon those warnings
- By: James Langton
- October 24, 2013 December 19, 2017
- 07:33
U.S. regulators propose standards for assessing diversity policies
Six agencies propose standards for assessing diversity policies and practices of the in financial firms they regulate
- By: James Langton
- October 23, 2013 December 19, 2017
- 15:30
SEC proposes crowdfunding rules
Startup companies would be able to sell stock over the Internet to small-time investors
- By: James Langton
- October 23, 2013 December 19, 2017
- 13:40
Retired fund salesman fined $400,000
Former FundEX salesman recommended exempt market products to clients without the knowledge or approval of his firm
- By: Fiona Collie
- October 23, 2013 December 19, 2017
- 09:00
The downside to simpler bank capital rules?
Higher costs to financial institutions and more face time with their supervisors
- By: James Langton
- October 22, 2013 December 19, 2017
- 13:55
Quebec investors among victims of forex scheme
Trading by Australian company led to losses of over 60% of the value of investors’ portfolios
- By: James Langton
- October 21, 2013 December 19, 2017
- 10:00
IOSCO finds shortcomings with hedge fund survey
Limitations in data collection prevent definitive conclusions regarding systemic risk
- By: James Langton
- October 21, 2013 December 19, 2017
- 08:40
U.S. advisory firm allegedly misled investors
SEC brought charges today against Harding Advisory LLC and owner, Wing Chau
- By: James Langton
- October 18, 2013 December 19, 2017
- 15:05
OSC delays Conrad Black proceeding
Hearing involving Black and John Boultbee to take place Oct. 23
- By: The Canadian Press
- October 18, 2013 December 19, 2017
- 12:30
Former advisor must pay costs: appeal court
Court rules IIROC right to seek costs award from former advisor
- By: James Langton
- October 18, 2013 December 19, 2017
- 12:15