Hampton CEO failed to maintain records: IIROC
Penalty hearing to be scheduled
- By: Fiona Collie
- November 23, 2012 November 23, 2012
- 15:30
Latest news in From the Regulators
NSSC imposes $100,000 fine on Keybase Financial
Fund dealer improves internal compliance systems
- By: IE Staff
- November 23, 2012 November 23, 2012
- 14:25
Former Quebec rep fined $20,000
Pointe-Claire man borrowed money from a client without his firm’s authorization
- By: IE Staff
- November 23, 2012 November 23, 2012
- 12:00
Firms failing to meet suitability, KYC obligations: report
OSC report sets out common deficiencies uncovered in compliance reviews
- By: James Langton
- November 22, 2012 November 22, 2012
- 17:30
Germany proposes rules for high-frequency trading
Unfiltered access will be prohibited
- By: James Langton
- November 22, 2012 November 22, 2012
- 17:20
ASC cease trades Investment Exchange Mortgage Corp.
Issuer distributed preferred share without a prospectus
- By: IE Staff
- November 22, 2012 November 22, 2012
- 16:20
OSC bans Richvale, Schiavone for mining fraud
Schiavone ordered to pay $300,000 administrative penalty, plus disgorgement and costs
- By: IE Staff
- November 22, 2012 November 22, 2012
- 12:00
OSC stays penalties against Northern Securities
Provincial regulator to hear appeal of IIROC penalty decision
- By: James Langton
- November 22, 2012 November 22, 2012
- 08:30
OSFI defends Basel III reforms
Turning back the clock is not an option, Zelmer says
- By: James Langton
- November 21, 2012 November 21, 2012
- 17:30
SEC bars Toronto man from associating with investment advisors
Money manager Weizhen Tang was convicted of fraud last month
- By: IE Staff
- November 21, 2012 November 21, 2012
- 17:00
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
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