Benefits of OTC derivatives reforms outweigh costs, global regulators say
MAGD report aims to estimate the macroeconomic effects of OTC derivatives reforms
- By: James Langton
- August 26, 2013 December 19, 2017
- 09:20
Latest news in From the Regulators
CA illegally distributed securities: ASC panel
Sherwood Financial Services funded its lending business through investors who lent money to the company
- By: James Langton
- August 23, 2013 December 19, 2017
- 15:45
Exchanges, SEC look to prevent future trading outage
SEC determined to enhance safeguards for strong market systems, following Nasdaq outage
- By: James Langton
- August 23, 2013 December 19, 2017
- 07:50
FCA settles with credit card insurers on mis-selling
British regulator says 23 million policies were widely mis-sold with customers given misleading and unclear information
- By: James Langton
- August 22, 2013 December 19, 2017
- 09:40
U.S. advisor charged with misleading board
SEC alleges the IA misled others in order to manage an investment fund
- By: James Langton
- August 21, 2013 December 19, 2017
- 11:30
FINRA warns of marijuana stock scams
Investors warned of pump and dump scams
- By: James Langton
- August 20, 2013 December 19, 2017
- 12:00
SEC charges former fund manager with misleading investors
Regulator says ex Oppenheimer manager provided false information about fund’s performance
- By: James Langton
- August 20, 2013 December 19, 2017
- 10:15
Global regulators tighten leash on mortgage insurers
Global financial regulators have published a set of recommendations designed to help prevent future failures of mortgage insurance.
- By: James Langton
- August 20, 2013 December 19, 2017
- 09:40
Toronto advisor fined $40,000
Advisor failed to use proper due diligence in recommending products to clients
- By: Fiona Collie
- August 19, 2013 December 19, 2017
- 16:05
MFDA issues guidance on social media
Firms that don’t allow the use of social media should have policies addressing their position
- By: James Langton
- August 19, 2013 December 19, 2017
- 16:00
Toronto man charged in multimillion dollar fraud
Alleged con artist defrauded people of over $15 million in a Ponzi scheme
- By: James Langton
- August 19, 2013 December 19, 2017
- 15:15
OSC to examine advisor titles
Review of best interest standard we will consider the impact that advisor titles and proficiency standards have on investor protection
- By: James Langton
- August 19, 2013 December 19, 2017
- 14:00
Time to focus on disaster recovery plans: U.S. regulators
Regulators advise investment firms to reassess business continuity and disaster recovery plans
- By: James Langton
- August 16, 2013 December 19, 2017
- 17:00
AMF seeking over $1 million in fines against five persons
Quebec regulator alleges unregistered trading, illegal distributions
- By: James Langton
- August 16, 2013 December 19, 2017
- 08:00
IIROC terminates First Financial Securities membership
The Investment Industry Regulatory Organization of Canada (IIROC) has terminated the membership of British Columbia-based First Financial Securities Inc. On July 30, an IIROC hearing…
- By: IE Staff
- August 15, 2013 December 19, 2017
- 16:00
Father and son advisor team fined $35,000
Former advisors sold prospectus exempt securities to unqualified clients
- By: Fiona Collie
- August 15, 2013 December 19, 2017
- 15:20
ASC cease trades Master Daytraders
Interim order issued on suspicion of securities fraud
- By: James Langton
- August 15, 2013 December 19, 2017
- 13:40
Joint Forum launches longevity risk consultation
Pension funds are increasingly looking for ways to hedge or transfer their exposure amid aging populations and longer life spans
- By: James Langton
- August 15, 2013 December 19, 2017
- 11:35
CSA reviews proxy voting infrastructure
Paper solicits feedback from issuers, investors and others to address concerns regarding integrity and reliability
- By: James Langton
- August 15, 2013 December 19, 2017
- 11:05
Number of UK advisors rises after commission ban
Advisors re-entering the market in the wake of Retail Distribution Review
- By: James Langton
- August 15, 2013 December 19, 2017
- 10:15
Joint Forum seeks comments on point of sale disclosure
Report examines the state of POS disclosure in each of the sectors of the financial industry in various countries
- By: James Langton
- August 15, 2013 December 19, 2017
- 09:00
Ontario man gets additional six months in jail
Abraham Grossman breached cease trade orders, traded without registration
- By: James Langton
- August 14, 2013 December 19, 2017
- 14:15
BCSC alleges exempt dealer sold REIT securities without proper disclosure
Regulator alleges the owners of League Investment Services failed to disclose they are also trustees of the REIT
- By: James Langton
- August 14, 2013 December 19, 2017
- 13:30
IIROC fines ex-advisor $10,000
Former rep in Quebec borrowed money from a client without firm's knowledge
- By: Fiona Collie
- August 14, 2013 December 19, 2017
- 11:20
BCSC alleges Chicago-based investment firm committed fraud
Regulator says three investors lost a total of $80,000 as a result of their investments with Strategic Global Investments
- By: James Langton
- August 14, 2013 December 19, 2017
- 07:00