Illegal distribution of Majestic shares raised $5.3 million
OSC sanctions hearing scheduled for March 15
- By: James Langton
- February 25, 2013 February 25, 2013
- 17:40
Latest news in From the Regulators
OSC panel releases FactorCorp decision
Sanctions hearing set for April 18
- By: James Langton
- February 25, 2013 February 25, 2013
- 15:00
SEC sets compliance exam priorities
U.S. regulator to focus on sales practices and fraud
- February 25, 2013 February 25, 2013
- 07:00
Edmonton rep fined $75,000 for off-book dealings
Six Richardson GMP clients invested $6 million in a Hong Kong-based company off-book
- February 22, 2013 February 22, 2013
- 10:20
CFTC sues CME NYMEX over information leaks
Regulator alleges former employees disclosed customer information
- By: James Langton
- February 22, 2013 February 22, 2013
- 08:35
OSC seeks trading ban against former Livent officers
Fraud convictions could lead to possible sanctions
- By: James Langton
- February 21, 2013 February 21, 2013
- 17:30
OSC extends stay of Northern penalties
Commission still reviewing IIROC decision
- By: James Langton
- February 21, 2013 December 14, 2017
- 16:30
Enforcement cases rise in 2012: CSA
The value of disgorgement, restitution and compensation ordered jumps to $120.6 million
- By: James Langton
- February 21, 2013 February 21, 2013
- 12:45
Canada to harmonize market circuit breakers
IIROC will continue to harmonize with the new U.S. market-wide safety valves
- By: James Langton
- February 21, 2013 February 21, 2013
- 11:40
IIROC to expand trading oversight of debt securities
Proposed rule would require dealers to report all debt market transactions
- By: James Langton
- February 20, 2013 February 20, 2013
- 12:00
ESMA eyes proxy advisors
European regulators recommend code of conduct
- By: James Morton
- February 19, 2013 February 19, 2013
- 18:00
Global regulators closer to final derivatives margin requirements
Basel Committee and IOSCO seeking comment on the latest version of the proposal.
- By: James Langton
- February 19, 2013 February 19, 2013
- 12:15
Head of UK prudential regulator appointed
Andrew Bailey name CEO of new Prudential Regulation Authority
- By: James Langton
- February 19, 2013 February 19, 2013
- 12:15
SEC investigating trades surrounding Heinz deal
U.S. regulator obtains emergency asset freeze of Swiss trading account
- By: James Langton
- February 15, 2013 February 15, 2013
- 17:15
Tafara leaving SEC
Fisher will become acting director of the U.S. regulators office of international affairs
- By: James Langton
- February 15, 2013 February 15, 2013
- 16:50
Edmonton rep made unsuitable recommendations: IIROC
Panel finds branch manager failed to properly supervise account
- By: Fiona Collie
- February 15, 2013 February 15, 2013
- 12:35
Basel issues guidance on settling FX transactions
Regulators aim to improve banks’ management of FX settlement-related risks
- By: IE Staff
- February 15, 2013 February 15, 2013
- 12:00
FINRA warns bond investors on interest rate risk
Investors should make sure they know their duration numbers
- By: James Langton
- February 15, 2013 February 15, 2013
- 08:00
IIROC targets five manipulative trading strategies
Dealers called on to implement policies to address, detect, prevent and report manipulative and deceptive activity
- By: James Langton
- February 14, 2013 February 14, 2013
- 14:25
ASC finds illegal insider trading of Eveready shares
Sanctions to be determined
- By: IE Staff
- February 14, 2013 February 14, 2013
- 13:40
EU securities markets safer in 2012: report
ESMA report finds that systemic risks have eased
- By: James Langton
- February 14, 2013 February 14, 2013
- 11:50
FSB calls for stronger risk governance
The financial crisis exposed a number of risk governance weaknesses in major financial institutions
- By: James Langton
- February 13, 2013 February 13, 2013
- 18:05
Sell PPNs through dealers: MFDA
KYC and suitability obligations apply to all sales of Principal Protected Notes by fund dealer reps
- By: James Langton
- February 13, 2013 February 13, 2013
- 15:45
OSFI issues warning about Midland Trust
Consumers warned not to provide personal information through website
- By: James Langton
- February 13, 2013 February 13, 2013
- 11:20
FSA review uncovers poor financial advice
Mystery shopping gathers first-hand evidence of what some UK investors might experience
- By: James Langton
- February 13, 2013 February 13, 2013
- 09:45