BCSC alleges illegal distributions and unregistered trading
Berkeley Coffee investors not eligible for exemption, regulator says
- By: James Langton
- December 14, 2012 December 14, 2012
- 13:20
Latest news in From the Regulators
IIROC imposes conditions on Northern Securities
NSI must cease sales and advisory activity for retail or institutional customers by the end of the year
- By: James Langton
- December 14, 2012 December 14, 2012
- 12:15
OSC seeks comment on four prospectus exemptions
The regulator hasn’t decided whether new exemptions, such as one for crowdfunding, are warranted
- By: James Langton
- December 14, 2012 December 14, 2012
- 11:35
IOSCO issues disclosure framework for market infrastructure
Framework intended to promote disclosure by clearing and payment systems
- By: James Langton
- December 14, 2012 December 14, 2012
- 10:00
OSFI adopts updated capital rules for life insurers
Revisions reflect a new treatment of net defined benefit pension plan liabilities
- By: James Langton
- December 14, 2012 December 14, 2012
- 08:15
ASC issues warning on high yield investment scheme
Loyal Financial Group promoting investments with monthly returns of up to 13.5%
- By: James Langton
- December 14, 2012 December 14, 2012
- 08:00
Former fund salesman banned and fined $500,000
MFDA panel finds rep recommended leverage strategies that were unsuitable for clients
- By: James Langton
- December 13, 2012 December 13, 2012
- 15:25
CSA paper puts trailer fees in the spotlight
Advisors are increasingly relying on trailing commissions as a source of revenue
- By: James Langton
- December 13, 2012 December 13, 2012
- 12:15
OSC announces Registrant Advisory Committee members
Debra Foubert named chairwoman
- By: IE Staff
- December 13, 2012 December 13, 2012
- 11:15
FSCO issues Ponzi scheme alert
Ontario regulator outlines warning signs for consumers
- By: James Langton
- December 13, 2012 December 13, 2012
- 11:00
IIROC to consider suspension of Jory Capital
Hearing scheduled for Dec. 13
- By: James Langton
- December 12, 2012 December 12, 2012
- 16:50
IIROC study sheds light on high-frequency trading
High order-to-trade traders are responsible for a high number of orders, compared to the number of trades they actually complete
- By: James Langton
- December 12, 2012 December 12, 2012
- 16:30
Common capital standards for insurers gaining momentum: OSFI head
The industry is less likely to reach consensus on a set of accounting standards that’s appropriate for every country
- By: Megan Harman
- December 12, 2012 December 12, 2012
- 12:10
SEC charges fund directors over asset pricing
Morgan Keegan funds were invested in securities backed by subprime mortgages
- By: James Langton
- December 10, 2012 December 10, 2012
- 15:30
OSFI adopts updated bank capital rules
New Canadian guidelines take effect Jan. 1, but other jurisdictions face delays implementing Basel III
- By: James Langton
- December 10, 2012 December 10, 2012
- 10:20
OSC suspends Jory Capital
Firm’s capital position leads to suspension by several provinces
- By: James Langton
- December 7, 2012 December 7, 2012
- 16:30
Goldman Sachs fined US$1.5 million for trading glitch
Fine settles CFTC charges that firm failed to supervise its employees
- By: James Langton
- December 7, 2012 December 7, 2012
- 15:30
IIROC to implement revised electronic trading rules
Changes designed to ensure the effective management of risks associated with electronic trading
- By: James Langton
- December 7, 2012 December 7, 2012
- 12:50
CSA proposes rules for OTC derivatives
Notice outlines proposed rules for reporting derivatives trades to trade repositories
- By: James Langton
- December 6, 2012 December 6, 2012
- 10:55
NASAA sees spike in online crowdfunding
Regulators watch for signs of investment fraud
- By: James Langton
- December 5, 2012 December 5, 2012
- 15:30
No monetary compensation for dropped allegations: NSSC
Regulator says it doesn’t have the authority grant declarations, compensation or costs sought by three men
- By: James Langton
- December 5, 2012 December 5, 2012
- 14:40
UK regulator proposes new LIBOR rules
FSA proposals include regulating benchmarks
- By: James Langton
- December 5, 2012 December 5, 2012
- 12:10
OSC won’t pursue action against Trump hotel developers
Investors have launched a multimillion-dollar lawsuit against Talon and its directors
- By: The Canadian Press
- December 4, 2012 December 4, 2012
- 15:50
NSSC approves settlement with NBF
Dealer fined $75,000 for failing to supervise trading
- By: IE Staff
- December 4, 2012 December 4, 2012
- 15:15
Regulators committed to streamlining rules for OTC derivatives
Global regulators say they have identified conflicts, inconsistencies, and duplicative requirements within their proposed rules
- By: James Langton
- December 4, 2012 December 4, 2012
- 13:00