OSC seeks input on proposed Aequitas exchange
Hybrid model raises questions about the current regulatory framework for visible and dark liquidity
- By: James Langton
- August 13, 2013 December 19, 2017
- 13:00
Latest news in From the Regulators
BCSC alleges corporate director lied to regulator’s staffArticle Title
Commission accuses Rudolph Brenner of concealing trading accounts
- By: James Langton
- August 13, 2013 December 19, 2017
- 07:00
Quebec fund dealer sanctioned
Supervisory violations found during MonArc inspections in 2012 and 2013
- By: James Langton
- August 12, 2013 December 19, 2017
- 14:50
Regulators seek input on resolution regimes
Focus on “too big to fail” banks turns to include key non-bank firms
- By: James Langton
- August 12, 2013 December 19, 2017
- 11:30
CGI to take over national filing systems in October, says CSA
Transition to new service provider will take place over the weekend of Oct. 12
- By: James Langton
- August 12, 2013 December 19, 2017
- 10:50
Australian regulator issues new rules for dark pools, high frequency trading
New rules will come into force in stages over nine months
- By: James Langton
- August 12, 2013 December 19, 2017
- 09:45
B.C. man committed fraud: BCSC panel
Craig Cho promoted securities on Vancouver’s Craigslist
- By: James Langton
- August 9, 2013 December 19, 2017
- 15:30
SEC issues alert on options trading used to evade short selling rules
Alert sets out practices found to be effective in detecting and preventing this sort of trading
- By: James Langton
- August 9, 2013 December 19, 2017
- 15:00
AMF cautions about Martin Boyer offerings
Unregistered dealer promising returns of up to 1,000%
- By: James Langton
- August 9, 2013 December 19, 2017
- 14:30
SEC report recommends monitoring indices
Exchanges and investment professionals cautioned to monitor composition of indices when offering futures products
- By: James Langton
- August 9, 2013 December 19, 2017
- 12:00
AMF charges pair with market manipulation
Regulator launches proceedings against Technologies Clemex president and his investment advisor
- August 9, 2013 December 19, 2017
- 09:25
Former RBC Australia associate jailed for insider trading
Corporate takeover information passed to trader
- By: James Langton
- August 9, 2013 December 19, 2017
- 08:30
Regulators formalize co-operation, oversight of MFDA
MOU includes mechanism for resolving disagreements about proposed changes
- By: James Langton
- August 9, 2013 December 19, 2017
- 07:00
BCSC rules Steinhoff penalty too severe
Panel upholds IIROC decision that Victoria broker contravened suitability rules
- By: James Langton
- August 8, 2013 December 19, 2017
- 14:15
Two investment schemes fraudulent: OSC
Commission finds Sandy Winick engaged in unregistered trading and illegal distributions, and participated in a fraud
- By: James Langton
- August 8, 2013 December 19, 2017
- 14:00
AMF warns about binary options
Investors cautioned about solicitations by Banc de Binary
- August 8, 2013 December 19, 2017
- 09:15
BCSC alleges former broker engaged in illegal insider trading
Regulator alleges Douglas Wood used Swiss bank to conceal trades
- By: James Langton
- August 8, 2013 December 19, 2017
- 07:15
OSC bans fraudster’s sister
Jan Chomica carried out the instructions of her brother, Michael Chomica, who ran two advance fee schemes
- By: James Langton
- August 7, 2013 December 19, 2017
- 15:20
BCSC investigating potential breaches by Swiss bank
Temporary order against Bank Gutenberg issued
- By: James Langton
- August 7, 2013 December 19, 2017
- 13:30
BCSC alleges self-employed forex trader committed fraud
Regulator accuses man of misrepresenting commissions to his clients, online brokerage firms
- By: James Langton
- August 7, 2013 December 19, 2017
- 08:15
FINRA issues phishing alert
Cold calls from scam artists pretending to be brokerage personnel
- By: James Langton
- August 6, 2013 December 19, 2017
- 15:00
FINRA fines Oppenheimer US$1.4 million for penny-stock deals
Independent consultant to conduct review of firm’s penny stock and anti-money laundering policies
- By: James Langton
- August 6, 2013 December 19, 2017
- 08:30
U.S. Senate confirms two for SEC
Stein, Piwowar to serve as SEC commissioners
- By: James Langton
- August 2, 2013 December 19, 2017
- 11:00
BCSC alleges lawyer engaged in illegal insider trading
Hearing into Hathor Exploration trades scheduled for September
- By: James Langton
- August 2, 2013 December 19, 2017
- 09:30
FSCO issues update on identity theft scheme
Famtel working for RBC, but the company is not selling insurance
- By: James Langton
- August 2, 2013 December 19, 2017
- 08:45