FINRA fines two U.S. banks over fund sales
Wells Fargo and Banc of America to reimburse customers
- June 4, 2013 December 19, 2017
- 10:00
Latest news in From the Regulators
British regulators to ban retail promotion of risky products
Under new FCA rules certain products will generally be restricted to sophisticated investors and high net worth individuals
- By: James Langton
- June 4, 2013 December 19, 2017
- 09:45
MFDA fines salesman $150,000
Fund salesman did not follow suitability obligations when selling leveraged investments to clients
- By: Fiona Collie
- June 4, 2013 December 19, 2017
- 09:25
CSA extends comment period for takeover bid reforms
The CSA and Quebec’s AMF have proposed different approaches to defense strategies in hostile takeover battles
- By: James Langton
- June 3, 2013 December 19, 2017
- 15:10
OSC bans man based on U.S. fraud convictions
Regulator calls conduct of Fernando Fagundes and New Futures Trading “abusive”
- By: James Langton
- June 3, 2013 December 19, 2017
- 14:40
IIROC fines rep in B.C., branch manager in Quebec
Ex Wolverton and Canaccord reps no longer registered
- By: IE Staff
- June 3, 2013 December 19, 2017
- 13:20
CCIR issues recommendations on electronic commerce
Regulators are looking at how to ensure consumer protection
- By: James Langton
- June 3, 2013 December 19, 2017
- 11:10
SEC suspends 61 microcap stocks
Trading suspension prevents dormant companies from being hijacked by fraudsters
- By: James Langton
- June 3, 2013 December 19, 2017
- 10:25
RBC to pay punitive damages in FINRA arbitration case
Couple assured U.S. government would not allow Lehman Brothers to fail
- By: James Langton
- May 31, 2013 December 19, 2017
- 15:45
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
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