FCA finds problems with retail distribution six months in
Report examines how British advisors have implemented RDR requirements
- By: James Langton
- July 25, 2013 December 19, 2017
- 09:30
Latest news in From the Regulators
Court won’t hear appeal of ASC confidentiality order
Both MEG Energy and the ASC agree the matter is moot
- By: James Langton
- July 24, 2013 December 19, 2017
- 11:30
N.B. man banned for defrauding investors
Priest ordered to surrender $600,000
- By: IE Staff
- July 24, 2013 December 19, 2017
- 10:55
Texan charged over alleged Bitcoin Ponzi scheme
SEC warns investors about the dangers of potential investment scams involving virtual currencies
- By: James Langton
- July 24, 2013 December 19, 2017
- 08:45
British regulators fine RBS over reporting failures
Royal Bank of Scotland fined £5.62 million for incorrectly reporting 44.8 million transactions
- By: James Langton
- July 24, 2013 December 19, 2017
- 08:30
IIROC settles with two firms
Interactive Brokers, JitneyTrade fined
- By: James Langton
- July 24, 2013 December 19, 2017
- 07:00
Opinions mixed on best interest standard
The third OSC roundtable prompted a discussion on designations, fees and enforcement
- By: Fiona Collie
- July 23, 2013 December 19, 2017
- 16:10
Ex fund salesman fined $250,000
Ontario-based salesman engaged in personal financial dealings with a client, failed to disclose other gainful occupation to his dealer firm
- By: Fiona Collie
- July 23, 2013 December 19, 2017
- 12:55
OSC IFPAC members announced
Committee will continue to advise OSC staff on investment fund industry developments
- By: James Langton
- July 23, 2013 December 19, 2017
- 11:00
FINRA to report data on mortgage-backed securities trading
U.S. regulator brings transparency to the MBS market
- By: James Langton
- July 22, 2013 December 19, 2017
- 15:40
OSC upholds IIROC panel decision clearing TD Securities
IIROC panel decision “defensible”, OSC panel rules
- By: James Langton
- July 22, 2013 December 19, 2017
- 11:30
OSC launches registrant outreach to foster compliance
The goal is to improve communication with dealers, fund managers and advisors
- By: James Langton
- July 22, 2013 December 19, 2017
- 10:55
CFTC charges high-speed trading firm
Panther Energy to pay US$1.4 million civil penalty for ‘spoofing’
- By: James Langton
- July 22, 2013 December 19, 2017
- 08:55
SEC brings charges against hedge fund founder
SEC alleges Steven Cohen failed to prevent insider trading at S.A.C Capital Advisors
- By: James Langton
- July 19, 2013 December 19, 2017
- 15:15
Basel Committee proposes liquidity disclosure standards
Regulators stress the importance of banks adopting a common disclosure framework
- By: James Langton
- July 19, 2013 December 19, 2017
- 08:50
Ex advisor banned over advance fee scheme
Lorne Banks solicited investors for schemes created by convicted fraudster Michael Chomica
- By: James Langton
- July 19, 2013 December 19, 2017
- 07:30
OSC finds mistakes with participation fee calculations
Notice provides guidance on specific problem areas, in an effort to improve compliance
- By: James Langton
- July 19, 2013 December 19, 2017
- 07:00
FSB names systemically important insurers
No Canadian firms on list of global insurers subject to stricter regulation
- By: James Langton
- July 18, 2013 December 19, 2017
- 16:15
OSC finds problems with fund marketing
Notice sets out guidance for firms to ensure compliance with regulatory obligations regarding sales communications
- By: James Langton
- July 18, 2013 December 19, 2017
- 16:00
CSA completes greater number of continuous disclosure reviews
Fewer issuers required to take action to improve their disclosure, CSA reports
- By: James Langton
- July 18, 2013 December 19, 2017
- 11:45
Review finds disclosure deficiencies at EMDs, portfolio managers
CSA sets out recommendations to improve relationship disclosure practices
- By: James Langton
- July 18, 2013 December 19, 2017
- 10:25
Halifax rep fined $60,000
John Brodie made unsuitable investment recommendations and unauthorized trades, according to IIROC
- By: Fiona Collie
- July 18, 2013 December 19, 2017
- 09:00
Ex Goldman director paying US$13.9 million to settle tipping charges
SEC alleged Rajat Gupta disclosed confidential information to hedge fund manager
- By: James Langton
- July 18, 2013 December 19, 2017
- 06:30
OSC bans man over illegal distributions
Onix royalty units used to raise funds for encryption software business
- By: James Langton
- July 17, 2013 December 19, 2017
- 16:10
OSC calls on industry to respect the spirit of its rules
Annual report stresses efforts to protect retail investors
- By: James Langton
- July 17, 2013 December 19, 2017
- 13:40