Former Edmonton rep fined $100,000
Ex-registered rep made unsuitable recommendations and unauthorized discretionary trades for a client
- By: Fiona Collie
- June 12, 2013 December 19, 2017
- 10:55
Latest news in From the Regulators
OSC to host ‘best interest’ duty panel
Discussion designed to reflect the diversity of views held by investors and the advisors
- By: James Langton
- June 11, 2013 December 19, 2017
- 23:55
FINRA warns investors on alternative mutual funds
Many alt funds have limited performance histories, and investors should understand the strategies and risks of any fund they are considering
- By: James Langton
- June 11, 2013 December 19, 2017
- 18:00
British regulator fines retail firm under new client asset penalties
Financial Conduct Authority levies first fine under new penalty regime
- By: James Langton
- June 11, 2013 December 19, 2017
- 10:00
OSC bans man sanctioned by BCSC for fraud
Reciprocal bans placed on Michael Shantz, Canada Pacific
- By: James Langton
- June 10, 2013 December 19, 2017
- 16:05
OSC: Introducing a best interest standard for advisors and dealers
Eleanor Farrell, director, Office of the Investor, Ontario Securities Commission, discusses the consultation paper on the introduction of a statutory best interest standard for advisors…
- By: Eleanor Farrell
- June 10, 2013 December 19, 2017
- 13:00
ASC sanctions Calgary man for market manipulation
David De Gouveia fined $75,000 for creating an artificial price for shares of Magellan Minerals
- By: IE Staff
- June 7, 2013 December 19, 2017
- 14:00
IIROC fines Ontario rep $35,000
RBC DS rep failed to use proper due diligence in recommending investment product to client
- By: Fiona Collie
- June 7, 2013 December 19, 2017
- 13:20
SEC charges California firm and fund manager with insider trading
Whittier Trust and Victior Dosti agree to pay US$1.7 million to settle the charges
- By: James Langton
- June 7, 2013 December 19, 2017
- 13:00
OSFI head warns P&C insurers about taking on extra risks
The prevailing low interest rate environment may drive companies to enter new lines of business
- By: James Langton
- June 7, 2013 December 19, 2017
- 09:00
Equity Star added to NBSC caution list
The firm is not registered to sell investments in New Brunswick
- By: James Langton
- June 7, 2013 December 19, 2017
- 06:30
OSFI issues FX settlement risk advisory
Advisory sets out expectations with respect to the management of foreign exchange settlement risk by banks
- By: James Langton
- June 6, 2013 December 19, 2017
- 16:00
Former fund salesman allegedly defrauded hundreds: BCSC
Over 400 clients invested roughly $65 million in exempt market securities on the advice of David Michaels, according to the regulator’s notice of hearing
- By: Fiona Collie
- June 6, 2013 December 19, 2017
- 15:45
European regulators take aim against rate rigging
Report sets out principles designed to address the problems identified with benchmark-setting processes
- By: James Langton
- June 6, 2013 December 19, 2017
- 15:00
CSA updates rules for derivatives trade reporting
Regulators aim to achieve a harmonized derivatives trade reporting regime across Canada
- By: James Langton
- June 6, 2013 December 19, 2017
- 10:45
BCSC extends exemption for MIEs
Regulator to evaluate the impact of the dealer registration requirements on mortgage investment entities
- By: James Langton
- June 6, 2013 December 19, 2017
- 09:30
OSC enforcement chief to speak in support of no-contest settlements
Regulator issues update on proposed enforcement initiatives in advance of policy meeting
- By: James Langton
- June 5, 2013 December 19, 2017
- 15:20
Boyuan Construction settles with OSC
Canadian-listed Chinese firm to pay $200,000 penalty, $100,000 in costs
- By: James Langton
- June 5, 2013 December 19, 2017
- 14:40
AMF issues warning on Vilaron, CEO
Unregistered investment fund manager soliciting investments through website and online ads
- By: James Langton
- June 5, 2013 December 19, 2017
- 14:20
Ex rep fined for fictitious trades
Former Union Securities rep ordered to pay $60,000 in fines and costs
- By: IE Staff
- June 5, 2013 December 19, 2017
- 11:20
IIROC releases annual exemption report
Report aims to help firms better understand the types of exemptions that IIROC may grant
- By: James Langton
- June 5, 2013 December 19, 2017
- 07:00
OSC Market Structure Advisory Committee seeks candidates
Application deadline is July 2
- By: James Langton
- June 4, 2013 December 19, 2017
- 10:30
IOSCO launches investor education gateway
Investor education information from 40 securities commission is already on the website
- June 4, 2013 December 19, 2017
- 10:15