IIROC to target proprietary products, KYC disclosure
Compliance report signals SRO’s priorities for the coming year
- By: James Langton
- December 4, 2012 December 4, 2012
- 11:30
Latest news in From the Regulators
Australia to enshrine advisor and planner titles in law
Bill would preventing anyone who is not a qualified financial planner or financial advisor from using those titles
- By: James Langton
- December 4, 2012 December 4, 2012
- 10:35
Raymond James fined $50,000 for failing to supervise branch manager
Off-site supervisors mistakenly believed trading platform would ensure all options trades were appropriate for client accounts
- By: Fiona Collie
- December 3, 2012 December 3, 2012
- 14:35
SEC charges China affiliates of top accounting firms
Five firms charged with securities law violations
- By: James Langton
- December 3, 2012 December 3, 2012
- 13:00
OSC accuses Ernst & Young of failing to meet standards in Sino-Forest audits
Regulator says accounting firm breached securities laws
- By: James Langton
- December 3, 2012 December 3, 2012
- 12:20
MFDA extends suitability obligations to cover borrowing to invest
Amendments require securities commission approval before they take effect
- By: James Langton
- December 3, 2012 December 3, 2012
- 11:25
FSA proposes emergency product intervention rules
Consultation outlines instances which may trigger temporary rules to protect UK investors
- By: James Langton
- December 3, 2012 December 3, 2012
- 09:40
NBSC warns of possible boiler room scheme
Investor loses more than $12,000
- By: IE Staff
- November 30, 2012 November 30, 2012
- 15:20
MFDA approves new directors
By-law amendments confirmed at AGM
- By: IE Staff
- November 30, 2012 November 30, 2012
- 06:30
CSA moves to modernize proxy voting communication
Amendments designed streamline communications with investors who hold securities through intermediaries
- By: IE Staff
- November 29, 2012 November 29, 2012
- 13:50
Ex branch manager fined for supervisory failings
Former DWM Securities manager failed to ensure that rep’s recommendations were suitable for clients
- By: IE Staff
- November 27, 2012 November 27, 2012
- 11:33
Ex broker suspended for unsuitable leveraged ETF recommendations
Poor knowledge of the product and its risks lead to $30,000 fine
- By: IE Staff
- November 26, 2012 November 26, 2012
- 15:20
Hampton CEO failed to maintain records: IIROC
Penalty hearing to be scheduled
- By: Fiona Collie
- November 23, 2012 November 23, 2012
- 15:30
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