Toronto man charged in multimillion dollar fraud
Alleged con artist defrauded people of over $15 million in a Ponzi scheme
- By: James Langton
- August 19, 2013 December 19, 2017
- 15:15
Latest news in From the Regulators
OSC to examine advisor titles
Review of best interest standard we will consider the impact that advisor titles and proficiency standards have on investor protection
- By: James Langton
- August 19, 2013 December 19, 2017
- 14:00
Time to focus on disaster recovery plans: U.S. regulators
Regulators advise investment firms to reassess business continuity and disaster recovery plans
- By: James Langton
- August 16, 2013 December 19, 2017
- 17:00
AMF seeking over $1 million in fines against five persons
Quebec regulator alleges unregistered trading, illegal distributions
- By: James Langton
- August 16, 2013 December 19, 2017
- 08:00
IIROC terminates First Financial Securities membership
The Investment Industry Regulatory Organization of Canada (IIROC) has terminated the membership of British Columbia-based First Financial Securities Inc. On July 30, an IIROC hearing…
- By: IE Staff
- August 15, 2013 December 19, 2017
- 16:00
Father and son advisor team fined $35,000
Former advisors sold prospectus exempt securities to unqualified clients
- By: Fiona Collie
- August 15, 2013 December 19, 2017
- 15:20
ASC cease trades Master Daytraders
Interim order issued on suspicion of securities fraud
- By: James Langton
- August 15, 2013 December 19, 2017
- 13:40
Joint Forum launches longevity risk consultation
Pension funds are increasingly looking for ways to hedge or transfer their exposure amid aging populations and longer life spans
- By: James Langton
- August 15, 2013 December 19, 2017
- 11:35
CSA reviews proxy voting infrastructure
Paper solicits feedback from issuers, investors and others to address concerns regarding integrity and reliability
- By: James Langton
- August 15, 2013 December 19, 2017
- 11:05
Number of UK advisors rises after commission ban
Advisors re-entering the market in the wake of Retail Distribution Review
- By: James Langton
- August 15, 2013 December 19, 2017
- 10:15
Joint Forum seeks comments on point of sale disclosure
Report examines the state of POS disclosure in each of the sectors of the financial industry in various countries
- By: James Langton
- August 15, 2013 December 19, 2017
- 09:00
Ontario man gets additional six months in jail
Abraham Grossman breached cease trade orders, traded without registration
- By: James Langton
- August 14, 2013 December 19, 2017
- 14:15
BCSC alleges exempt dealer sold REIT securities without proper disclosure
Regulator alleges the owners of League Investment Services failed to disclose they are also trustees of the REIT
- By: James Langton
- August 14, 2013 December 19, 2017
- 13:30
IIROC fines ex-advisor $10,000
Former rep in Quebec borrowed money from a client without firm's knowledge
- By: Fiona Collie
- August 14, 2013 December 19, 2017
- 11:20
BCSC alleges Chicago-based investment firm committed fraud
Regulator says three investors lost a total of $80,000 as a result of their investments with Strategic Global Investments
- By: James Langton
- August 14, 2013 December 19, 2017
- 07:00
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
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