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
Latest news in From the Regulators
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
ETFs granted exemptions from prospectus requirements
Exemptions will help create a more consistent regulatory treatment of mutual funds and ETFs
- By: James Langton
- August 2, 2013 December 19, 2017
- 08:00
MFDA gives reasons for W.H. Stuart suspension
Marilyn Stuart made unauthorized transactions in “inactive” client accounts
- By: Fiona Collie
- August 1, 2013 December 19, 2017
- 15:55
ASC settles insider trading case against former Daylight Energy CEO
Anthony Lambert to pay out $129,000 for “error in judgment”
- By: James Langton
- August 1, 2013 December 19, 2017
- 15:50
OSC commissioner drops out of First Leaside hearing
Carnwath withdraws from panel amid allegations of bias
- By: James Langton
- August 1, 2013 December 19, 2017
- 15:15
BCSC alleges husband and wife engaged in insider trading
Regulators accuse former geologist of tipping his wife about a pending takeover of Geo Minerals
- By: James Langton
- August 1, 2013 December 19, 2017
- 07:30
OSFI proposes new measure of earthquake exposure
Losses from exposure to earthquakes may pose a significant threat to the financial well-being of many P&C insurers
- By: James Langton
- August 1, 2013 December 19, 2017
- 07:00
SEC boosts investor protection
Changes ensure that clients are protected from the threat of broker-dealer insolvency
- By: James Langton
- July 31, 2013 December 19, 2017
- 14:10
Ontario AG to return funds to Al-Tar fraud victims
OSC managed to freeze four bank accounts at the start of its proceedings
- By: James Langton
- July 31, 2013 December 19, 2017
- 11:40
Arrest order issued for man who failed to pay ASC penalties
Former High Plains officer declared to be in civil contempt
- By: Monique Gravel
- July 31, 2013 December 19, 2017
- 07:40
AMF lays charges over illegal distributions
Quebec regulator seeking more than $1.7 million in sanctions
- By: James Langton
- July 30, 2013 December 19, 2017
- 15:10
U.S. agencies propose stress test guidance for smaller banks
The new guidance aims to help companies conduct tests that are “appropriately scaled to their size”
- By: James Langton
- July 30, 2013 December 19, 2017
- 14:15
FSCO suspends mortgage broker
Mortgage Lenders Ltd. ordered to cease carrying on mortgage brokering business
- By: IE Staff
- July 30, 2013 December 19, 2017
- 12:45
Analyst charged with tipping SAC Capital manager
SEC alleges analyst tipped details of Microsoft Yahoo negotiations
- By: James Langton
- July 30, 2013 December 19, 2017
- 12:35
ASC issues sanctions over Ponzi scheme
TransCap and Strata-Trade misled investors, perpetrated fraud
- By: IE Staff
- July 30, 2013 December 19, 2017
- 11:25
OSC eyes gender diversity of boards
Proposal would require TSX-listed to companies to provide disclosure regarding women on boards and in senior management in Ontario
- By: James Langton
- July 30, 2013 December 19, 2017
- 08:45
FSCO warns of identity theft insurance scheme
Sentel Insurance is not licensed to do business in Ontario
- By: James Langton
- July 29, 2013 December 19, 2017
- 14:45
B.C. insurance agent suspended
Insurance Council rules agent made inappropriate investment recommendations to a client
- By: James Langton
- July 26, 2013 December 19, 2017
- 15:30
Innovative Gifting scheme violated securities laws, OSC panel rules
Sanctions to be determined at a future hearing
- By: James Langton
- July 26, 2013 December 19, 2017
- 13:25