CFTC revokes Axcess registration
Action follows OSC sanctions
- By: James Langton
- April 3, 2013 December 19, 2017
- 11:10
Latest news in From the Regulators
MSC warns about high-yield investment scheme
Felmina Alliance not authorized to carry out business in Manitoba
- By: James Langton
- April 3, 2013 December 19, 2017
- 09:35
MFDA sets out regulatory priorities
Bulletin outlines eight areas of focus, including exempt securities, outside business activities and leverage
- By: James Langton
- April 2, 2013 December 19, 2017
- 15:45
SEC lets companies use social media disclosure
Report concludes that companies can use social media to announce key information
- By: James Langton
- April 2, 2013 December 19, 2017
- 15:40
NASAA issues warning on private placements
Investor advisory released ahead of rule changes to U.S. exempt market
- By: James Langton
- April 2, 2013 December 19, 2017
- 13:00
Couple settles Nexen insider trading charges with SEC
Chinese businessman and his wife to pay US$3 million
- By: James Langton
- April 1, 2013 December 19, 2017
- 16:30
Advocates welcomes new UK financial regulator
Financial Conduct Authority now responsible for firms’ conduct
- By: James Langton
- April 1, 2013 December 19, 2017
- 14:00
OSC imposes penalties on unregistered real estate investments
Investment clubs sold fractional interests in Belize and Dominican Republic properties to Ontario investors
- By: James Langton
- April 1, 2013 December 19, 2017
- 08:50
OSC’s Wetston elected IOSCO vice chairman
Australia’s Medcraft takes over as chairman
- By: James Langton
- April 1, 2013 December 19, 2017
- 08:10
More regulators on Ontario ‘sunshine list’
Chairman Howard Wetston is the commission’s highest paid employee
- By: James Langton
- March 28, 2013 December 19, 2017
- 16:10
Ontario man fined $25,000 for prohibited trades
Trading activity increased the monthly trading volume for Discovery Air shares by as much as 24% in one month
- By: James Langton
- March 28, 2013 December 19, 2017
- 13:55
OSC settles with Bear Lake Gold geologist
Bernard Boily to pay $750,000 for altering mining assay results
- By: James Langton
- March 28, 2013 December 19, 2017
- 13:30
OSC issues reciprocal orders
Bans follow sanctions by BCSC and NBSC
- By: James Langton
- March 28, 2013 December 19, 2017
- 12:00
Speedier filings coming to SEDAR
Public filings will soon be accessible within 15 minutes of the original submission
- By: James Langton
- March 28, 2013 December 19, 2017
- 11:00
Second phase of CRM brings tougher reporting
CSA aims to enhance investor protection by improving the disclosure of investment costs and performance
- By: James Langton
- March 28, 2013 December 19, 2017
- 10:20
OSC to consider wash trading settlement
Regulator alleges Discovery Air trades created a misleading appearance
- By: James Langton
- March 27, 2013 December 19, 2017
- 15:40
IIROC releases 2012 enforcement report
Report highlights regulator’s focus on suitability issues and cases involving seniors
- By: James Langton
- March 27, 2013 December 19, 2017
- 12:05
CSA aims to modernize fund rules
Proposals would create a more consistent regulatory framework for comparable investment products
- By: James Langton
- March 27, 2013 December 19, 2017
- 11:30
UK regulator hits Prudential with $50.8 million fine
Firm failed inform FSA of bid for AIA
- By: James Langton
- March 27, 2013 December 19, 2017
- 10:05
OSC sets hearing for alleged illegal distribution fraud
Portfolio Capital hearing scheduled for April 17
- By: James Langton
- March 26, 2013 December 19, 2017
- 15:15
Britain proposes easing rules for start-up banks
Report examines barriers to new competitors entering the banking sector
- By: James Langton
- March 26, 2013 December 19, 2017
- 10:40
Basel proposes new rules for bank exposures
New standard aims to ensure greater consistency in the way banks and regulators control exposures to single counterparties
- By: James Langton
- March 26, 2013 December 19, 2017
- 10:25
Quebec reps fined for off-book activities
Two former Desjardins Securities reps ordered to repay profits
- By: IE Staff
- March 26, 2013 December 19, 2017
- 09:40
Big banks to face enhanced oversight: OSFI
Six banks designated of domestic systemic importance; will face capital surcharge
- By: James Langton
- March 26, 2013 December 19, 2017
- 08:20
OSC to consider reciprocating BCSC orders
Sanctions handed down by B.C. regulator for illegal distributions, unregistered trading
- By: James Langton
- March 26, 2013 December 19, 2017
- 07:00