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
Latest news in From the Regulators
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
New UK regulator sets out business plan
FCA says it will be much more proactive than the FSA
- By: James Langton
- March 25, 2013 December 19, 2017
- 14:00
CSA announces March 26 as Check Registration Day
Investors encouraged to check the registration of firms and individuals offering investment advice
- March 25, 2013 December 19, 2017
- 10:50
FSA finalizes reforms in wake of rate-rigging scandal
Until now firms were allowed to set benchmarks without regulatory supervision
- By: James Langton
- March 25, 2013 December 19, 2017
- 09:15
IOSCO seeks input on regulatory issues raised market fragmentation
Report recommends possible policy options
- By: James Langton
- March 22, 2013 December 19, 2017
- 16:00
Basel cracks down regulatory capital arbitrage
Proposed measures intended to ensure that the costs, of purchased credit protection are appropriately recognized in regulatory capital
- By: James Langton
- March 22, 2013 December 19, 2017
- 15:30
Warning issued on high-yield investment programs
Internet-based promotions targeting investors with “risk free” returns, BCSC says
- By: IE Staff
- March 22, 2013 December 19, 2017
- 13:45
OSC grants contingency fund relief to dealers
Ontario Contingency Trust Fund is being wound up
- By: James Langton
- March 22, 2013 December 19, 2017
- 10:25
Basel calls for better auditing of banks
Revised guidance is designed to bolster market confidence
- By: James Langton
- March 22, 2013 December 19, 2017
- 09:40
Court dismisses appeals by former Coventree execs
OSC sanctions against Geoffrey Cornish and Dean Tai upheld
- By: IE Staff
- March 21, 2013 December 19, 2017
- 11:50
ABCP investors set to receive $60 million settlement
The OSC and IIROC say settlement cheques will be sent my the end of March
- By: IE Staff
- March 21, 2013 December 19, 2017
- 10:30
FSCO warns of auto insurance scam
Consumer directed to pay premiums by email money transfer
- March 20, 2013 December 19, 2017
- 15:55
Northern Securities closing operations
Capital shortfall leads to suspension by IIROC
- By: James Langton
- March 20, 2013 December 19, 2017
- 11:50
Former fund salesman fined over loan
Borrowing from a client led to potential conflict of interest
- By: IE Staff
- March 20, 2013 December 19, 2017
- 09:30
Former fund salesman fined $500,000
Ciardullo engaged in personal financial dealings with at least 15 clients
- By: IE Staff
- March 20, 2013 December 19, 2017
- 09:00