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
Latest news in From the Regulators
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
IOSCO eyes investor protection for structured products
Proposed toolkit sets out potential regulatory approach to retail structured products
- By: James Langton
- April 18, 2013 December 19, 2017
- 10:00
ASC settles illegal insider trading case against Calgary consultant
Bayfield Ventures shares traded with knowledge of assay results
- By: IE Staff
- April 17, 2013 December 19, 2017
- 14:05
IOSCO begins monitoring standards for payment, clearing and settlement systems
IOSCO begins monitoring standards for payment, clearing and settlement systems
- By: James Langton
- April 17, 2013 December 19, 2017
- 12:25
CSA satisfied with MFDA performance
Report identifies some areas for improvement
- By: James Langton
- April 17, 2013 December 19, 2017
- 12:00
U.S. court grants injunction against Inter Reef
The firm, also known as Profitable Sunrise, has been the subject of investor warnings in Canada
- By: James Langton
- April 16, 2013 December 19, 2017
- 17:00
Ex investment banker to pay more than $800,000 for improper trades
Moore settles with OSC, SEC
- By: James Langton
- April 16, 2013 December 19, 2017
- 15:30
Provinces see potential for federal role in securities regulation: report
Ministers committed to moving forward on advisor incorporation
- By: James Langton
- April 16, 2013 December 19, 2017
- 10:15
IOSCO proposes principles for benchmark rates
Task force established following regulatory the manipulation of major interest rate benchmarks
- By: James Langton
- April 16, 2013 December 19, 2017
- 09:15
Progress on OTC derivatives market reform falls short
FSB report finds G20 countries failed to meet 2012 deadline
- By: James Langton
- April 15, 2013 December 19, 2017
- 16:30
SEC settles with rogue trader in US$1 billion Apple stock scheme
Trader’s activity put Rochdale Securities out of business
- By: James Langton
- April 15, 2013 December 19, 2017
- 16:00
IIROC updates guidance on stop loss orders
Dealers reminded of responsibility for fair and orderly markets
- By: James Langton
- April 15, 2013 December 19, 2017
- 11:05
Brokerage client data loss entirely preventable, Ontario’s privacy commissioner says
IIROC loses portable device that contains date on 52,000 brokerage firm clients
- By: James Langton
- April 15, 2013 December 19, 2017
- 08:05
OSC stays IIROC penalty against Conville
Former rep fined $50,000 over mortgage scheme
- By: James Langton
- April 15, 2013 December 19, 2017
- 06:00
OSC proposes mandatory electronic filing
Proposed rule would allow for the efficient collection and use of information by the OSC
- By: James Langton
- April 12, 2013 December 19, 2017
- 12:45
Halifax rep violated regulatory requirements: IIROC
Panel finds rep made unsuitable investment recommendations and personally compensated clients for account losses
- By: Fiona Collie
- April 12, 2013 December 19, 2017
- 12:20
Juniper Fund, CEO face sanctions hearing
OSC panel says violations began with poor record keeping
- By: James Langton
- April 12, 2013 December 19, 2017
- 11:50
ASC drops insider trading charges
Gran Cache Coal trades not based on undisclosed material facts
- By: James Langton
- April 11, 2013 December 19, 2017
- 16:30
SEC files insider trading charges against former KPMG partner
Regulator alleges Scott London, as lead partner on several KPMG audits, was able to obtain material, nonpublic information
- By: James Langton
- April 11, 2013 December 19, 2017
- 15:00
OSC to consider settlement with investment banker
Regulator alleges Richard Moore had knowledge of undisclosed material facts
- By: James Langton
- April 11, 2013 December 19, 2017
- 13:15
Analysis: Is CRM the beginning of bigger reforms?
If CRM reforms fail to produce the desired outcome, more drastic regulatory changes could be in store
- By: James Langton
- April 11, 2013 December 19, 2017
- 06:00
Feds unveil new standards for consumer banking complaints
Standards external complaints bodies enforced by Financial Consumer Agency of Canada
- By: James Langton
- April 10, 2013 December 19, 2017
- 13:50
U.S. regulators approve identity theft rules
Financial firms required to detect red flags and prevent identity theft in client accounts
- By: James Langton
- April 10, 2013 December 19, 2017
- 13:30