Retail investors deserve day in court: NASAA
State and provincial regulators speak out on a U.S. Supreme Court decision enforcing mandatory arbitration
- By: James Langton
- June 26, 2013 December 19, 2017
- 10:50
Latest news in From the Regulators
IIROC pushing forward with security review
CEO Susan Wolburgh Jenah speaks for the first time about IIROC’s data loss and the steps the organization is taking to ensure it doesn’t happen…
- By: Clare O’Hara
- June 25, 2013 December 19, 2017
- 15:25
OSC seeks members for Investor Advisory Panel
The Ontario Securities Commission (OSC) is inviting applications for membership on its Investor Advisory Panel (IAP). Established in 2010, the IAP is seeking several new…
- By: IE Staff
- June 25, 2013 December 19, 2017
- 15:15
‘Best interest’ costs spark industry debate
Industry members discuss possible costs of adopting a statutory best interest standard for advisors and dealers
- By: Fiona Collie
- June 25, 2013 December 19, 2017
- 15:05
Ontario woman banned for role in advance scheme
Anna Hrynisak used Ontario bank accounts to disburse funds from obtained from fraud victims
- By: James Langton
- June 25, 2013 December 19, 2017
- 15:05
More time to consider reform of closed-end funds
CSA extends deadline for fund rule comments
- By: James Langton
- June 25, 2013 December 19, 2017
- 11:50
FSB highlights priorities for reform
The Financial Stability Board’s latest meeting focused on vulnerabilities affecting the global financial system
- By: James Langton
- June 25, 2013 December 19, 2017
- 11:10
Ontario rep fined $30,000 for due diligence failings
The Investment Industry Regulatory Organization of Canada (IIROC) has fined an Ontario rep $30,000 for due diligence shortcomings On June 10, an IIROC hearing panel…
- By: IE Staff
- June 24, 2013 December 19, 2017
- 15:20
Ernst & Young failed on Zungui Haixi audit, alleges OSC
Hearing scheduled for July 15
- By: James Langton
- June 24, 2013 December 19, 2017
- 13:25
IOSCO publishes new principles for regulation of ETFs
Report stresses the importance of disclosure and conduct requirements for ETF dealers
- By: James Langton
- June 24, 2013 December 19, 2017
- 08:45
Land and solar power scheme violated Securities Act: OSC
Sanctions hearing scheduled for Sept. 4
- By: James Langton
- June 21, 2013 December 19, 2017
- 15:50
IIROC to publish glossary of designations
Online tool designed to help clients understand financial credentials and titles
- By: Clare O’Hara
- June 21, 2013 December 19, 2017
- 12:00
Provinces committed to ongoing securities regulation reform
Council of Ministers agrees to create “network-based co-operative regulatory model”
- By: James Langton
- June 20, 2013 December 19, 2017
- 15:10
ASC reciprocates BCSC bans
Myron Sullivan and two firms banned
- By: IE Staff
- June 20, 2013 December 19, 2017
- 13:50
OSC approves impact investing portal
Regulator grants exemption to MARS VX, an online portal that will connect accredited investors with impact investing issuers
- By: James Langton
- June 20, 2013 December 19, 2017
- 10:30
UK banks need to fill capital hole, says PRA
Banking regulator says eight banks have a $43 billion capital shortfall
- By: James Langton
- June 20, 2013 December 19, 2017
- 08:40
AMF designates Desjardins as systemically important
Status brings added regulatory requirements
- By: James Langton
- June 20, 2013 December 19, 2017
- 07:50
Forfeiture fuels record compensation for B.C. fraud victims
Over $900,000 will be shared among victims of a doctor who became an unqualified investment-pool operator
- By: James Langton
- June 19, 2013 December 19, 2017
- 15:35
OSC rules real estate firm engaged in fraud
Penalty hearing to determine sanctions against Cabo Catoche (Medra)
- By: James Langton
- June 19, 2013 December 19, 2017
- 14:50
Former branch manager fined $85,000
Ex rep engaged in outside business activities at two separate firms
- By: Fiona Collie
- June 19, 2013 December 19, 2017
- 11:00
UK report calls for criminal sanctions for bad bankers
Reforms necessary to restore public trust
- By: James Langton
- June 19, 2013 December 19, 2017
- 08:30
Scotia Capital fined $150,000
Firm failed to comply with trading supervision obligations
- By: IE Staff
- June 19, 2013 December 19, 2017
- 07:00
NASAA warns about energy scams
Oil and gas investments are increasingly attractive to both investors and con artists
- By: James Langton
- June 18, 2013 December 19, 2017
- 13:15
Britain charges former trader in LIBOR investigation
Ex UBS and Citigroup trader charged with conspiracy to defraud
- By: James Langton
- June 18, 2013 December 19, 2017
- 07:30
‘No contest’ settlements would improve OSC enforcement: Atkinson
Faster settlements would make enforcement staff more productive and able to take more actions
- By: James Langton
- June 17, 2013 December 19, 2017
- 13:35