OSC suspends EMD Fast Track Capital
Regulator imposes conditions on another exempt market dealer, Trafalgar Associates
- By: James Langton
- February 5, 2013 February 5, 2013
- 15:20
Latest news in From the Regulators
IIROC panel suspends Penson Financial
The carrying brokerage is in the process of closing down its business in Canada
- By: James Langton
- February 5, 2013 February 5, 2013
- 08:20
OSC sanctions trio in $1.7 million Goldpoint scheme
Respondents ordered to pay $300,000 each in penalties, disgorge profits
- By: James Langton
- February 4, 2013 February 4, 2013
- 14:45
CSA renews term of Bill Rice
NSSC’s Sarah Bradley appoint new vice chairwoman
- By: IE Staff
- February 4, 2013 February 4, 2013
- 11:45
IIROC panel to consider Penson suspension
Back office firm is in the process of winding up its business in Canada
- By: James Langton
- February 4, 2013 February 4, 2013
- 08:50
NSSC approves settlement with Return On Innovation Advisors
Firm fined $10,000 for late filing of reports
- By: IE Staff
- February 1, 2013 February 1, 2013
- 14:00
FINRA funds investor education
U.S. regulator giving US$1.12 million in grants to libraries to fund education programs
- By: James Langton
- January 31, 2013 January 31, 2013
- 16:40
B.C. extends comment period for Northwest exemption
Regulator proposes to revoke exemption which allow firms to trade in the exempt market with registering
- By: James Langton
- January 31, 2013 January 31, 2013
- 15:15
Northern Securities faces IIROC hearing
Regulator alleges firm has been operating with a capital deficiency
- By: James Langton
- January 31, 2013 January 31, 2013
- 12:30
RIM exec gets five-year ban for Certicom purchase
Paul Donald’s conduct “contrary to the public interest”
- By: James Langton
- January 31, 2013 January 31, 2013
- 12:00
UK banks to review sales of interest rate hedging products
FSA concerned about suitability of sales to unsophisticated investors
- By: James Langton
- January 31, 2013 January 31, 2013
- 11:05
Basel finds insufficient trading-book capital disclosure by banks
Report provides national supervisors with a clearer understanding of how the risk models of their banks compare with those of international peers
- By: James Langton
- January 31, 2013 January 31, 2013
- 10:25
OSC charges pair with unregistered trading
Scheme solicited U.S. investors, regulator says
- By: James Langton
- January 30, 2013 January 30, 2013
- 16:40
Calgary pair charged in connection with alleged pump and dump scheme
ASC lays 16 charges in suspected manipulation of Coastal Pacific securities
- By: IE Staff
- January 29, 2013 January 29, 2013
- 13:40
Carney warns against complacency on banking reform
Much work still needs to be done on securing recovery, sound banking system
- By: The Canadian Press
- January 28, 2013 January 28, 2013
- 18:00
OSFI revises corporate governance guideline
The most significant changes are in the areas of board effectiveness at federally regulated financial institutions
- By: James Langton
- January 28, 2013 January 28, 2013
- 10:15
UK tribunal upholds $12.8 million Swift Trade FSA fine
Layering activity constituted “market abuse”
- By: James Langton
- January 28, 2013 January 28, 2013
- 09:50
SEC’s proposal to lift ad ban poses risk for investors
Lifting the ban may present investors with risk from misleading advertising from alternative asset managers
- By: James Langton
- January 24, 2013 January 24, 2013
- 17:15
Obama picks White to head SEC
U.S. attorney brings knowledge of securities markets and commitment to investor protection
- By: James Langton
- January 24, 2013 January 24, 2013
- 17:00
OSC gives more time for exemption feedback
Consultation deadline extended until March 8
- By: James Langton
- January 24, 2013 January 24, 2013
- 16:30
Electronic filing fees poised to fall
System fees to decline for SEDAR, SEDI and NRD
- By: James Langton
- January 24, 2013 January 24, 2013
- 14:20
Leverage strategy breached suitability obligations: MFDA panel
Fund salesman’s recommendations had “devastating consequences” for clients, panel says
- By: Fiona Collie
- January 23, 2013 January 23, 2013
- 16:45
ASC settles with former Canadian Oil Sands chief
Kimball agrees to pay $25,000 fine
- By: IE Staff
- January 23, 2013 January 23, 2013
- 16:00
SEC commissioners balk at IOSCO suitability guideline
Final report does not “accurately reflect” U.S. law
- By: James Langton
- January 23, 2013 January 23, 2013
- 11:05
ASC proposes new rule for producing records
Rule provides standards and guidance for producing records in the electronic age
- By: James Langton
- January 22, 2013 January 22, 2013
- 12:15