OSFI head defends Basel III
A “simpler” solution won’t work, says Dickson
- By: James Langton
- October 1, 2012 October 1, 2012
- 11:20
Latest news in From the Regulators
Regulators reaffirm commitment to OTC derivatives reform
Canada will continue to work with authorities in other jurisdictions to achieve FSB safeguards at global central counterparties
- By: James Langton
- October 1, 2012 October 1, 2012
- 08:45
Fraud schemes raised US$15 million, OSC panel finds
Driver and Taylor committed fraud, traded without registration
- By: IE Staff
- September 28, 2012 September 28, 2012
- 15:20
OSC issues warning on U.S. OTC stock
SEC suspends trading in Titan shares
- By: IE Staff
- September 28, 2012 September 28, 2012
- 14:30
ASC levies $54 million in fines in “massive” fraud
Three men, two companies face bans
- By: The Canadian Press
- September 28, 2012 September 28, 2012
- 14:00
SEC orders Ontario trio to pay US$12.9 million
Three men accused of “hijacking” defunct companies
- By: James Langton
- September 28, 2012 September 28, 2012
- 10:00
FSA report details overhaul of LIBOR
Wheatley calls for benchmark to be reformed, not replaced
- By: James Langton
- September 28, 2012 September 28, 2012
- 07:30
U.S. brokers need better controls on confidential material: report
SEC hopes report will help strengthen compliance
- By: James Langton
- September 27, 2012 September 27, 2012
- 15:15
Pastor perpetrated investor fraud: OSC
Hibbert permanently banned for capital markets, ordered to disgorge $4.7 million
- By: James Langton
- September 27, 2012 September 27, 2012
- 14:25
IIROC seeks comment on circuit breaker changes
Proposed changes would mesh with U.S. reforms
- By: James Langton
- September 26, 2012 September 26, 2012
- 15:45
OSC extends cease trader order against First Leaside founder
Hearing scheduled for February 2013
- By: James Langton
- September 26, 2012 September 26, 2012
- 14:15
Three B.C. insurance reps disciplined
Regulator imposes two-year ban on rep who misappropriated premiums
- By: James Langton
- September 26, 2012 September 26, 2012
- 07:30
N.B. woman charged with fraud, misrepresentation
Charline Hurley was cease traded by NBSC earlier this year
- By: James Langton
- September 25, 2012 September 25, 2012
- 15:00
OSC bans Da Silva
Convicted man ordered to pay $250,000 penalty
- By: James Langton
- September 25, 2012 September 25, 2012
- 11:45
IIROC plans continuity test
Test scenario involves the inaccessibility of data centers where business transactions are processed
- By: James Langton
- September 24, 2012 September 24, 2012
- 16:20
Short selling ban worked, says Australian regulator
Restrictions during the 2008 financial crisis reduced risks, but also lowered liquidity and increased price volatility
- By: James Langton
- September 24, 2012 September 24, 2012
- 11:50
Financial regulators focused on closing gaps
IIROC will be issuing new guidance in October addressing outsourcing arrangements
- By: James Langton
- September 24, 2012 September 24, 2012
- 10:45
Joint Forum releases revised supervision principles for financial conglomerates
Revisions intended to close gaps, eliminate “blind spots”
- By: James Langton
- September 24, 2012 September 24, 2012
- 08:30
NSSC fines fund salesman
BMO Nesbitt salesman admits to falsifying client document
- By: IE Staff
- September 21, 2012 September 21, 2012
- 09:15
ASC suspends registration of Homerun Securities
Exempt market dealer failed to comply with securities laws and provided deficient financial filings
- By: James Langton
- September 21, 2012 September 21, 2012
- 07:50
MFDA fines former branch manager $160,000
Stephen Popen was terminated from Investors Group in 2009 for breaching MFDA rules
- By: IE Staff
- September 20, 2012 September 20, 2012
- 15:40
Expert advice not subject to litigation privilege, NSSC panel says
Sheito and Woods ordered to materials in expert report
- By: James Langton
- September 20, 2012 September 20, 2012
- 14:35
Regulators working to keep fees down
OSC, IIROC aiming to keep fee increases under control
- By: Megan Harman
- September 20, 2012 September 20, 2012
- 13:30
CFTC brings charges in global forex scheme
Alleged scheme accepted at least US$53 million from at least 960 clients worldwide
- By: James Langton
- September 19, 2012 September 19, 2012
- 14:40
FSCO warns of insurance scam
Allege scam focuses on bogus insurance companies
- By: James Langton
- September 19, 2012 September 19, 2012
- 13:30