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
Latest news in From the Regulators
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
FINRA outlines framework for economic review of rules
Framework will ensure rules are better designed and minimize unnecessary burdens
- By: James Langton
- September 23, 2013 December 19, 2017
- 15:35
ASC accuses Poseidon Concepts of obstruction of justice
Regulator alleges firm altered minutes of board of director and audit committee meetings
- By: The Canadian Press
- September 23, 2013 December 19, 2017
- 15:30
Increasing catastrophes the new reality for P&C insurers, says OSFI head
Superintendent Julie Dickson reminds insurers to prepare for rising risks
- By: James Langton
- September 23, 2013 December 19, 2017
- 11:10
OSC roundtable to discuss women on boards
Comment period on gender diversity paper extended
- By: James Langton
- September 23, 2013 December 19, 2017
- 10:40
Goldcorp chairman settles with OSC
Ian Telfer reprimanded, agrees to pay $200,000
- By: James Langton
- September 20, 2013 December 19, 2017
- 12:45
Harvest CEO fined over personal trading
Firm’s policies change to prevent similar conduct
- By: James Langton
- September 20, 2013 December 19, 2017
- 11:45
National regulator aims to get other provinces on board by January
Feds pledge to pay provinces that will lose net revenue
- By: James Langton
- September 20, 2013 December 19, 2017
- 11:40
OSC announces Market Structure Advisory Committee members
Members will serve two-year term, starting Nov. 1
- By: James Langton
- September 20, 2013 December 19, 2017
- 09:20
FINRA proposes broker bonus disclosure rule
Rule would require U.S. brokers to tell their clients about any big bonuses they receive when they change firms
- By: James Langton
- September 20, 2013 December 19, 2017
- 08:05
Quebec opposed to co-op regulator, industry pleased
Alberta says is will need time to review the federal government’s plan
- By: James Langton
- September 19, 2013 December 19, 2017
- 15:25
ASC reaches settlement with ex Rogers Gold president
Brian Kirkham to pay $25,000 for illegal distributions and misrepresentations by firm
- By: James Langton
- September 19, 2013 December 19, 2017
- 13:35
CSA to provide guidance to proxy advisory firms
Regulatory guidance will be published in early 2014
- By: James Langton
- September 19, 2013 December 19, 2017
- 10:20