OSC finds suitability compliance shortcomings
In a recent review, most exempt market dealers and portfolio managers were issued deficiency reports
- By: James Langton
- May 31, 2013 December 19, 2017
- 10:50
Latest news in From the Regulators
Former Optionable chief fined US$1 million for defrauding BMO: CFTC
Kevin Cassidy previously sentenced to 30 months imprisonment
- By: James Langton
- May 31, 2013 December 19, 2017
- 10:20
CSA eases prospectus rules
The changes will increase the range of permissible pre-marketing and marketing activities
- By: James Langton
- May 30, 2013 December 19, 2017
- 10:50
Nasdaq to pay US$10 million fine for Facebook IPO
Exchange settles with SEC over trading disruptions
- By: James Langton
- May 29, 2013 December 19, 2017
- 11:25
OSC extends temporary order against Pro-Financial
Order suspends firm’s exempt market dealer registration and restricts its portfolio manager registration
- By: James Langton
- May 29, 2013 December 19, 2017
- 11:00
Toronto rep fined $25,000
Ex Scotia Capital rep falsely endorsed client signatures
- By: IE Staff
- May 28, 2013 December 19, 2017
- 15:00
Liberty Reserve ran US$6 billion money-laundering scheme, say U.S. prosecutors
The investigation involved law enforcement action in 17 countries, including Canada
- By: James Langton
- May 28, 2013 December 19, 2017
- 14:20
SIFMA endorses SEC commissioner nominations
Piwowar and Stein would replace Paredes and Walter
- By: James Langton
- May 28, 2013 December 19, 2017
- 14:00
MFDA finds complaint handling shortcomings at dealers
Dealers should review the complaint handling documentation they provide to clients
- By: James Langton
- May 27, 2013 December 19, 2017
- 14:30
Questrade, trader fined for trading rule violations
Online brokerage failed to detect potential artificial bid prices
- By: IE Staff
- May 27, 2013 December 19, 2017
- 08:50
OSFI proposes changes to capital framework for P&C insurers
Regulator seeks industry input, calls on companies to participate in study
- By: James Langton
- May 24, 2013 December 19, 2017
- 15:40
Court sides with BCSC in freeze order
Refusal to revoke freeze order was reasonable, court rules
- By: James Langton
- May 24, 2013 December 19, 2017
- 14:20
Emerging market regulators want in
New IOSCO committee says regulators in emerging markets need to play a more active role in global regulatory reform efforts
- By: James Langton
- May 24, 2013 December 19, 2017
- 09:00
OSC reviews bullion funds following price drop
Newsletter outlines work of investment funds branch
- By: James Langton
- May 23, 2013 December 19, 2017
- 16:15
SEC settles with proxy advisory firm ISS
Firm pays US$300,000 over information leaks
- By: James Langton
- May 23, 2013 December 19, 2017
- 12:20
BCSC alleges sisters illegally distributed $75,000 shares
Regulator alleges fraud in Wheatland Industrial Park joint venture
- By: The Canadian Press
- May 22, 2013 December 19, 2017
- 17:30
W.H. Stuart ordered to halt all public transactions
The fund dealer is likely to become undercapitalized, according to the MFDA
- By: Fiona Collie
- May 22, 2013 December 19, 2017
- 11:30
Julie Dickson not serving second term as OSFI chief
Superintendent finishes July 2014
- By: The Canadian Press
- May 21, 2013 December 19, 2017
- 13:40
Vacation property scheme a fraud, OSC rules
Moncasa Capital and its president misled investors while selling $1.2 million worth of securities
- By: James Langton
- May 21, 2013 December 19, 2017
- 12:50
MFDA preparing for CRM implementation
The SRO wants to hear from fund dealers directly about possible concerns
- By: James Langton
- May 21, 2013 December 19, 2017
- 10:40
OSFI continues to monitor mortgage market
Reviews of bank mortgage lending portfolios get ‘reasonable results’, Dickson says
- By: James Langton
- May 21, 2013 December 19, 2017
- 09:20
Former rep permanently banned
Ex CIBC employee misappropriated funds from client account
- By: Fiona Collie
- May 17, 2013 December 19, 2017
- 15:30
Former analyst fined $1.1 million
OSC finds Michael Zhao guilty of insider trading
- By: Fiona Collie
- May 17, 2013 December 19, 2017
- 13:00
Canada a leader with bank contingent capital plan: Fitch
OSFI has moved ahead of global counterparts with regulatory framework
- By: James Langton
- May 17, 2013 December 19, 2017
- 12:30
BMO agrees to remedy lapses in U.S. anti-money laundering
Review by Federal Reserve finds deficiencies at Chicago branch
- By: James Langton
- May 17, 2013 December 19, 2017
- 11:40