‘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
Latest news in From the Regulators
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
Montreal advisor fined $20,000
Advisor made off-book transaction and failed to inform her firm of outside business activities
- By: Fiona Collie
- June 17, 2013 December 19, 2017
- 09:50
OSC creates new crime unit
New unit will focus on the investigation and prosecution of criminal violations of securities laws
- By: James Langton
- June 14, 2013 December 19, 2017
- 14:00
Former fund salesmen denied appeal
Ontario court dismisses an appeal from two former salesmen to overturn an OSC decision denying them registration
- By: James Langton
- June 14, 2013 December 19, 2017
- 13:45