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
Latest news in From the Regulators
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
IOSCO issues final principles for financial benchmarks
Principles set out clear standards establishing guidelines for benchmark administrators
- By: James Langton
- July 17, 2013 December 19, 2017
- 09:50
FSB consults on principles for risk appetite framework
Measures aimed at enhancing supervisory oversight of big banks
- By: James Langton
- July 17, 2013 December 19, 2017
- 09:25
FSB issues guidance on recovery and resolution planning
Measure intended to make “too big to fail” banks resolvable without taxpayer support
- By: James Langton
- July 16, 2013 December 19, 2017
- 15:20
CRM 2 reforms now in effect
Amendments ensure all investors receive the same information about the cost and performance of their investments
- By: James Langton
- July 16, 2013 January 19, 2018
- 13:00
IOSCO examines cybercrime risks
Exchanges agree cybercrime in securities markets should be considered a systemic risk
- By: James Langton
- July 16, 2013 December 19, 2017
- 10:30
Former fund salesman fined $25,000
Ontario salesman recommended and sold investments without the knowledge or approval of his dealer firm
- By: Fiona Collie
- July 16, 2013 December 19, 2017
- 09:10
CSA names topics, panel for third ‘best interest’ roundtable
Discussion will focus on whether dealers and advisors should be subject to a best interest standard when providing advice to retail clients, and the alternatives…
- By: James Langton
- July 15, 2013 December 19, 2017
- 11:30