FSCO warns about unlicensed firms
Consumers who deal with these insurance and mortgage brokerages are not protected
- By: James Langton
- April 9, 2013 December 19, 2017
- 14:40
Latest news in From the Regulators
Former associate rep fined $100,000
Ex Monarch Wealth rep refused to co-operate with an MFDA investigation into possible misuse of client information
- By: Fiona Collie
- April 9, 2013 December 19, 2017
- 08:10
U.S. Senate confirms White to head SEC
SIFMA welcomes appointment of former prosecutor
- By: James Langton
- April 9, 2013 December 19, 2017
- 06:30
The long path to enhanced investor protection
Regulators finalize a regulatory initiative that’s been 15 years in the making
- By: James Langton
- April 9, 2013 December 19, 2017
- 06:00
FSCO to review mortgage and insurance brokers
Regulator issues draft statement of priorities
- By: James Langton
- April 5, 2013 December 19, 2017
- 15:30
OSC proposes new guidelines for determining blanket orders
Proposal outlines what the OSC considers in determining what constitutes a prohibited blanket order
- By: James Langton
- April 5, 2013 December 19, 2017
- 12:25
MFDA proposes small dealer forum
Regulator would like to improve its outreach to smaller firms
- By: James Langton
- April 4, 2013 December 19, 2017
- 15:40
Fiduciary duty among OSC’s top priorities
Regulator plans to conduct mystery shopping exercise to gauge suitability of investment advice
- By: James Langton
- April 4, 2013 December 19, 2017
- 14:50
Ex boiler room employee denied registration
Prospective fund rep failed to disclose her prior employment in registration application
- By: James Langton
- April 4, 2013 December 19, 2017
- 07:00
Investment loans gone bad result in $1.7 million in losses
NBSC orders company to repay losses to investors
- By: IE Staff
- April 3, 2013 December 19, 2017
- 13:45
CFTC revokes Axcess registration
Action follows OSC sanctions
- By: James Langton
- April 3, 2013 December 19, 2017
- 11:10
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