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
Latest news in From the Regulators
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
CSA eyes regulation of market data fees
Consultation paper examines the cost of real-time market data, and proposes possible regulatory options
- By: James Langton
- November 8, 2012 November 8, 2012
- 11:20
OSC names new members to executive team
Eleanor Farrell to oversee Office of the Investor
- By: James Langton
- November 7, 2012 November 7, 2012
- 10:50
NBSC seeks input on CPAB recognition
Canadian Public Accountability Board has applied for recognition as an auditor oversight body
- By: James Langton
- November 6, 2012 November 6, 2012
- 15:30
FSB publishes progress reports to G20 on financial regulatory reforms
“Significant work” ahead, says Carney
- By: James Langton
- November 6, 2012 November 6, 2012
- 09:30
Systematech, founders to face OSC hearing
Regulator alleges the firm and its two founders raised $12.4 million through and illegal distributions
- By: James Langton
- November 5, 2012 November 5, 2012
- 17:00
OSFI issues final minimum capital test guideline for P&C insurers
Guideline takes effect Jan. 1, 2013
- By: James Langton
- November 5, 2012 November 5, 2012
- 12:40
Former B.C. rep banned for misappropriating $95,000 from friends
Call centre rep used funds to pay down personal debt
- By: Fiona Collie
- November 5, 2012 November 5, 2012
- 10:30
FSB reports on progress implementing SIFI framework
Recovery and resolution plans are required for all global systemically important financial institutions
- By: James Langton
- November 2, 2012 November 2, 2012
- 15:30
Bates to head OSC Investor Advisory Panel
Four additions expand panel to eight members
- By: James Langton
- November 2, 2012 November 2, 2012
- 11:05
FSB updates list of important global banks
Two banks added, three dropped and still no Canadian banks make the list
- By: James Langton
- November 1, 2012 November 1, 2012
- 15:50
OSC must send case documents to Mexico: panel
Medra must put in writing that it will not disclose the documents to third parties
- By: James Langton
- November 1, 2012 November 1, 2012
- 15:25
IIROC uses Financial Literacy Month to promote advisor database
Regulator encourages investors to use AdvisorReport to help in making informed decisions
- By: Fiona Collie
- November 1, 2012 November 1, 2012
- 09:30
Uncertainty an obstacle to OTC derivatives reform
FSB releases latest progress report
- By: James Langton
- November 1, 2012 November 1, 2012
- 07:25
Regulators partner to increase consumer protection and improve mortgage broker standards
The Mortgage Broker Regulators’ Council of Canada ncludes representatives from the nine provinces
- By: James Langton
- November 1, 2012 November 1, 2012
- 07:00
NASAA warns investors of “Sandy scams”
Potential investors urged to use caution if approached with unsolicited Sandy-related investment offers
- By: James Langton
- October 31, 2012 October 31, 2012
- 15:45