Ex Maitland Capital salesman banned
Tom Mezinski reprimanded, ordered to cease trading for three years
- By: James Langton
- November 21, 2012 November 21, 2012
- 15:30
Latest news in From the Regulators
NSSC fines former Helical insiders
Former executives failed to disclose trades
- By: IE Staff
- November 21, 2012 November 21, 2012
- 14:00
Australian regulator introduces new rules on dark pools
The new rules will be phased in over 18 months,
- By: James Langton
- November 21, 2012 November 21, 2012
- 09:30
Flaherty sees progress toward national regulator
Federal finance minister meets with Ontario counterpart
- By: Julian Beltrame
- November 20, 2012 November 20, 2012
- 18:15
ASC alleges Sherwood Financial illegally traded securities
Regulator says firm raised $1.1 million from investors by entering into loan agreements or promissory notes
- By: James Langton
- November 20, 2012 November 20, 2012
- 16:30
Ex-hedge fund manager charged in US$276 million insider scheme
SEC claims Mathew Martoma illegally obtained insider information about clinical drug trial for Elan and Wyeth
- By: James Langton
- November 20, 2012 November 20, 2012
- 15:05
Former rep banned for misappropriating funds
Quebec man directed elderly client to sign blank cheques under false pretenses
- By: IE Staff
- November 20, 2012 November 20, 2012
- 14:00
Ex Montreal rep fined $110,000
Former Scotia Capital broker made excessive, unsuitable trades
- By: IE Staff
- November 19, 2012 November 19, 2012
- 15:00
FSB seeks to strengthen regulation of shadow banking
Recommendations focus on five areas where policies are needed to mitigate potential systemic risks
- By: James Langton
- November 19, 2012 November 19, 2012
- 12:30
IOSCO publishes recommendations for securitization regulation
Regulation aims to restore confidence and trust by setting standards
- By: James Langton
- November 16, 2012 November 16, 2012
- 16:20
JPMorgan, Credit Suisse settle with SEC
Firms to pay more than US$400 million over mortgage-backed securities
- By: James Langton
- November 16, 2012 November 16, 2012
- 14:20
OSFI head cautions insurers on alternative investments
Julie Dickson notes that much higher interest rates could yet emerge in the future
- By: James Langton
- November 16, 2012 November 16, 2012
- 11:50
OSC to examine electronic trading controls
Firms invited to participate in the review
- By: James Langton
- November 15, 2012 November 15, 2012
- 15:00
Berkley Coffee and CEO sanctioned for illegally distributing securities
Prospectus filed with SEC did not meet requirements of BCSC
- By: IE Staff
- November 15, 2012 November 15, 2012
- 14:40
CSA proposes making OBSI dispute resolution mandatory
Investors will benefit from common standards for securities industry dispute resolution, regulators say
- By: James Langton
- November 15, 2012 November 15, 2012
- 11:15
FSA imposes record fine on UK firm
Regulator says CPP failed to treat customers fairly and did not provide clear information
- By: James Langton
- November 15, 2012 November 15, 2012
- 09:30
SEC penalties up 11% over last year
This year’s caseload includes an increasing number of cases involving highly complex products, transactions, and practices
- By: James Langton
- November 14, 2012 November 14, 2012
- 13:20
IIROC fines Wellington West, branch manager
Dealer and branch manager sanctioned for lax supervision of leveraged ETF recommendations
- By: Fiona Collie
- November 13, 2012 November 13, 2012
- 14:05
Former CIBC WM rep fined $25,000
Calgary broker borrowed money from clients, reimbursed a client for losses
- By: IE Staff
- November 13, 2012 November 13, 2012
- 13:30
Northern Securities chief suspended, fined by IIROC
Victor Alboini sanctioned for violating rules
- By: James Langton
- November 13, 2012 November 13, 2012
- 08:45
NFA improves transparency for futures customers
Public online access to futures firms’ financial information
- By: James Langton
- November 12, 2012 November 12, 2012
- 16:00
OSC hearings moved
Renovations to Toronto hearing rooms lead to venue change
- By: IE Staff
- November 12, 2012 November 12, 2012
- 15:30
OSC publishes guide for issuers operating in emerging markets
Regulator highlights eight key areas that should be considered
- By: James Langton
- November 9, 2012 November 9, 2012
- 10:30
Fund managers failing on conflicts of interest: FSA
UK regulator to take action action against firms
- By: James Langton
- November 9, 2012 November 9, 2012
- 09:30