IIROC eyes use of titles and designations by reps
Regulator proposes best practices so investors aren’t misled
- By: James Langton
- January 8, 2013 January 8, 2013
- 14:00
Latest news in From the Regulators
OSC bans man for “predatory” behavior
Unregistered trader purchased Electrolinks shares for one cent and then sold them to investors at 65 to 85 times that amount
- By: James Langton
- January 7, 2013 January 7, 2013
- 12:30
Basel liquidity standards for banks eased
Revisions endorsed on the weekend by oversight body
- By: James Langton
- January 7, 2013 January 7, 2013
- 10:15
MFDA proposes changes to branch manager rules
Proposed amendments would allow for flexible approach to supervision
- By: James Langton
- January 4, 2013 January 4, 2013
- 15:00
BCSC proposes revoking Northwest exemption
Lack of compliance leads regulator to propose scraping of EMD registration exemption
- By: James Langton
- January 3, 2013 January 3, 2013
- 14:25
U.S. brokerage fined over pricing of mutual fund orders
FINRA orders Pruco Securities to pay US$10.7 million
- By: James Langton
- January 2, 2013 January 2, 2013
- 10:00
SEC approves new rules regarding lost holders of securities
Broker-dealers required to conduct searches for holders of securities with whom they have lost contact
- By: James Langton
- December 24, 2012 December 24, 2012
- 08:20
Teacher accused of unregistered trading and advising
OSC schedules hearing for futures trading school operator
- By: James Langton
- December 21, 2012 December 21, 2012
- 17:30
Provinces adopt new offering memorandum exemption
New relief aims to help early stage companies raise capital
- By: James Langton
- December 21, 2012 December 14, 2017
- 11:00
OSC trims fee hike
In response to industry complaints, proposed increases for registrants and issuers have been scaled back
- By: James Langton
- December 20, 2012 December 20, 2012
- 16:40
ASC eases offering memorandum exemption requirements
Blanket order provides relief from certain financial statement-related requirements
- By: James Langton
- December 20, 2012 December 20, 2012
- 16:35
NBSC cease trades alleged boiler rooms
Crainshaw and Osbourne have not responded to the allegations
- By: James Langton
- December 20, 2012 December 20, 2012
- 13:30
IIROC to ease electronic distribution of research reports
Readers to be directed to required disclosures through embedded links
- By: James Langton
- December 20, 2012 December 20, 2012
- 11:45
Pair must post $20,000 to appeal OSC decision
Court finds New Life appeal ‘frivolous and vexatious’
- By: James Langton
- December 19, 2012 December 19, 2012
- 18:20
IIROC issues guideline on sale of PPNs
Reps with bank-owned dealers must sell PPNs through the investment dealer not the financial institution
- By: James Langton
- December 19, 2012 December 19, 2012
- 14:30
OSC approves litigation assistance program
Volunteer counsel provide legal services to self-represented respondents
- By: James Langton
- December 19, 2012 December 19, 2012
- 12:00
SEC sanctions Biremis co-founders
Peter Beck and Charles Kim to pay US$500,000 civil fine
- By: James Langton
- December 19, 2012 December 19, 2012
- 11:30
Regina rep fined $30,000 for suitability failures
Retired client with limited investment knowledge invested in higher risk securities
- By: IE Staff
- December 18, 2012 December 18, 2012
- 14:00
Forex trading scheme a fraud, OSC panel rules
New Found Freedom Financial to face penalty hearing in 2013
- By: James Langton
- December 18, 2012 December 18, 2012
- 13:00
OSC extends stay of penalties against Northern Securities execs
Hearing and review of IIROC decision scheduled for mid-February
- By: James Langton
- December 17, 2012 December 17, 2012
- 14:50
OSC staff disclosure ruled “adequate” in insider trading case
Motion to improve disclosure and confidentiality motion dismissed
- By: IE Staff
- December 17, 2012 December 17, 2012
- 14:00
UK regulator steps up fight against mis-selling of funds
Firms ordered to offer investors redress
- By: James Langton
- December 17, 2012 December 17, 2012
- 12:25
Fed proposes stricter capital rules for U.S. operations of big foreign banks
Banks would be required to create an intermediate holding company over their U.S. subsidiaries
- By: James Langton
- December 14, 2012 December 14, 2012
- 17:05
IIROC suspends Jory Capital
Winnipeg firm ordered to stop dealing with the public
- By: James Langton
- December 14, 2012 December 14, 2012
- 14:30