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
Latest news in From the Regulators
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
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