OSC settles with wife of fraudster
Juliet Winget must pay $575,000 in monetary sanctions
- By: James Langton
- September 4, 2013 December 19, 2017
- 11:50
Latest news in From the Regulators
“Too-big-to-fail” status remains a problem: FSB
Report finds improvements are being made but moral hazard still exists in the financial system
- By: James Langton
- September 3, 2013 December 19, 2017
- 14:50
FSB publishes shadow banking system recommendations
Latest recommendations will strengthen the oversight and regulation of shadow banking
- By: James Langton
- August 30, 2013 December 19, 2017
- 16:00
Regulators commit to OTC derivatives reforms
Report outlines cross-border plans to implement changes in OTC derivatives markets
- By: James Langton
- August 30, 2013 December 19, 2017
- 14:20
Industry remains too dependent on credit ratings: FSB
Identifying suitable alternatives to credit ratings remains a major challenge, says Financial Stability Board
- By: James Langton
- August 30, 2013 December 19, 2017
- 11:50
Ex-Goldman Sachs trader fined $500,000
Former U.S. trader hid the true size and risk of an e-mini futures position
- By: James Langton
- August 30, 2013 December 19, 2017
- 09:55
e3m granted registration exemption
OSC allows brokerage firm to remain registered despite insufficient capital
- By: James Langton
- August 29, 2013 December 19, 2017
- 15:05
IIROC allows electronic disclosure
Firms can provide links to disclosure materials in research reports delivered electronically
- By: James Langton
- August 29, 2013 December 19, 2017
- 12:45
OSFI to allow swaps for pension plans
Draft advisory policy lets pension plans use swaps or insurance contracts to reduce longevity risk
- By: James Langton
- August 29, 2013 December 19, 2017
- 12:35
U.S. agencies revise proposed risk retention rule
The proposed rule would provide sponsors of asset-backed securities with several options to satisfy the risk retention requirements
- By: James Langton
- August 28, 2013 December 19, 2017
- 12:35
OSC announces next steps in exempt market review
Commission continues work on developing four new possible exemptions, including crowdfunding
- By: James Langton
- August 28, 2013 December 19, 2017
- 10:50
Ontario advisor fined $50,000
Advisor purchased unsuitable securities for clients and engaged in unauthorized trading
- By: Fiona Collie
- August 28, 2013 December 19, 2017
- 09:15
SEC calls on advisors to review disaster recovery planning
Review finds deficiencies with business continuity plans of some firms
- By: James Langton
- August 28, 2013 December 19, 2017
- 08:30
FSCO mediation backlog cleared
Cases can now proceed to court or arbitration
- By: James Langton
- August 28, 2013 December 19, 2017
- 07:40
IIROC to publish CRM reforms by year-end
IIROC says its rules will be phased in with the same sorts of transition periods adopted by the CSA
- By: James Langton
- August 27, 2013 December 19, 2017
- 16:10
Report notes real progress towards Basel III reforms
Progress report published ahead of G20 Leaders’ Summit
- By: James Langton
- August 27, 2013 December 19, 2017
- 09:00
Room for improvement on compensation disclosure, say FSB
Second progress report on compensation practices published
- By: James Langton
- August 27, 2013 December 19, 2017
- 08:30
OSC panel finds Crown Hill Capital, CEO breached fiduciary duty
Two transactions found to be contrary to the best interests of Capital Hill Fund
- By: James Langton
- August 26, 2013 December 19, 2017
- 15:00
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
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