Understand advisor titles: NASAA
NASAA reminds investors about the different types of financial advisors in the U.S.
- By: James Langton
- April 30, 2013 December 19, 2017
- 16:20
Latest news in From the Regulators
MFDA releases enforcement report
SRO reports almost $3.5 million in fines, victims from vulnerable groups account for roughly 30% of cases in 2012
- By: James Langton
- April 29, 2013 December 19, 2017
- 15:45
OSC follows BCSC order
Regulator issues a reciprocal order to ban a B.C.-based firm and two individuals
- By: James Langton
- April 29, 2013 December 19, 2017
- 14:20
No penalty for fictional individuals and firms: OSC
Regulator releases panel decisions on securities fraud allegations involving made-up companies and individuals
- By: James Langton
- April 29, 2013 December 19, 2017
- 14:05
CSA reviewing IIROC data loss
Regulators examining IIROC policies and procedures
- By: James Langton
- April 26, 2013 December 19, 2017
- 16:20
IIROC terminates Jory Capital membership
A lack of liquid assets has led to the Winnipeg-based firm’s suspension in several provinces
- By: James Langton
- April 26, 2013 December 19, 2017
- 10:50
New service provider for CSA National systems
Canadian Securities Administrators chooses CGI to operate SEDAR, SEDI and NRD
- By: James Langton
- April 25, 2013 December 19, 2017
- 16:15
MFDA fines former advisor $6 million
Penalty against Paul Yoannou is one of the largest levied by the MFDA
- By: Fiona Collie
- April 25, 2013 December 19, 2017
- 12:55
OSC eases disclosure for foreign offerings
Amendments will remove certain domestic disclosure requirements for foreign private placements
- By: James Langton
- April 25, 2013 December 19, 2017
- 10:40
Victims of financial crime get support from AMF
Quebec regulator signs agreement with Montreal Crime Victims Assistance Centre
- By: James Langton
- April 24, 2013 December 19, 2017
- 15:55
B.C. portfolio manager to pay $50,000
Quantum Financial Services agrees to BCSC fine for repeated procedural deficiencies
- By: IE Staff
- April 24, 2013 December 19, 2017
- 15:10
Capital One settles SEC auto loan charges
The credit card company will pay $3.5 million for failing to properly account for losses in its auto finance business in 2007
- By: James Langton
- April 24, 2013 December 19, 2017
- 13:55
OSC settles fraud charges
Several firms and CEO pay a total of $6.6 million as part of settlement agreement
- By: James Langton
- April 24, 2013 December 19, 2017
- 13:50
IIROC fines two B.C. brokers
The brokers were fined $500,000 and $100,000 respectively for failing in their roles as gatekeepers
- By: Fiona Collie
- April 24, 2013 December 19, 2017
- 10:20
Swiss private bank fined $6.6 million
Bank’s lax anti-money laundering controls result in fine from British regulators
- By: James Langton
- April 24, 2013 December 19, 2017
- 09:35
FSCO warns of alleged Toronto-area fraud scheme
Police have charged Bosko Kostovski with sale of false or invalid insurance cards
- By: James Langton
- April 22, 2013 December 19, 2017
- 16:20
Quebec advisor fined $40,000
Investment advisor failed to use proper due diligence and orchestrated a private off-book investment for clients
- By: Fiona Collie
- April 22, 2013 December 19, 2017
- 15:30
SEC names enforcement division leaders
George Canellos and Andrew Cereseny will jointly head the department
- April 22, 2013 December 19, 2017
- 13:25
IOSCO addresses technological challenges of market surveillance
Recommendations aim to help supervisors develop the tools to ensure that trading is fair and orderly
- By: James Langton
- April 22, 2013 December 19, 2017
- 11:00
OSC seeks new members for investment fund advisory committee
IFPAC advises OSC staff on emerging product developments and innovations in the investment fund industry
- By: IE Staff
- April 22, 2013 December 19, 2017
- 10:20
Client data on lost device not encrypted, IIROC confirms
Industry should not be forced to pay clean up costs, says IIAC
- By: James Langton
- April 20, 2013 December 19, 2017
- 10:50
Former B.C. rep fined $50,000
Ex rep failed to inform his firm of personal financial dealings with a client
- By: Fiona Collie
- April 19, 2013 December 19, 2017
- 14:40
CRM 2: Breaking down the new regulations
Rebecca Cowdery, a partner at Borden Ladner Gervais discusses the new major changes to the client relationship model that are likely to have a big…
- By: Patricia Chisholm, Rebecca Cowdery
- April 19, 2013 December 19, 2017
- 08:25
CSA proposes changes for derivatives market
Consultation paper sets out recommendations on registration and regulation of firms trading in derivatives
- By: James Langton
- April 18, 2013 December 19, 2017
- 10:45