FSA proposes measures to protect client assets during insolvencies
Changes would limit losses to certain clients when an investment firm fails
- By: James Langton
- September 6, 2012 September 6, 2012
- 12:20
Latest news in From the Regulators
European Commission launches consultation on benchmarks
LIBOR scandal highlighted vulnerabilities of indices
- By: James Langton
- September 5, 2012 September 5, 2012
- 16:10
Fredericton man jailed for breaching trading ban
Cody continued to trade in securities after NBSC issued permanent ban in 2009
- By: James Langton
- September 5, 2012 September 5, 2012
- 12:45
Portus co-founder Mendelson to face sanctions hearing
OSC to skip hearing of allegations after Mendelson made submissions via teleconference
- By: James Langton
- September 5, 2012 September 5, 2012
- 11:50
British regulators tackle questionable sales incentives
Clients being sold products they don’t need due to industry compensation schemes
- By: James Langton
- September 5, 2012 September 5, 2012
- 08:05
BCSC warns investors about three firms
Companies that were cease traded in Saskatchewan are not registered to trade
- By: James Langton
- September 4, 2012 September 4, 2012
- 15:35
Former UBS executives convicted of fraud
U.S. Department of Justice finds execs corrupted competitive bidding process, defrauded municipalities
- By: James Langton
- August 31, 2012 August 31, 2012
- 17:00
BCSC proposes new rules for firms trading in U.S. OTC markets
Proposed reporting requirements aim to prevent abusive market practices
- By: James Langton
- August 31, 2012 August 31, 2012
- 11:30
ASC dismisses allegations in insider trading case
Trading activity by employees of Berens Energy was not, after all, illegal, panel finds
- By: James Langton
- August 30, 2012 August 30, 2012
- 16:30
PPNs must be sold through registered dealers: CSA
Regulators take action to ensure PPN sales are subject to KYC, suitability rules
- By: James Langton
- August 30, 2012 August 30, 2012
- 11:25
New Brunswick man fined $24,000 over loan arrangement
Trites was never registered with NBSC to trade in securities
- By: James Langton
- August 29, 2012 August 29, 2012
- 13:45
B.C. men arrested, charged with securities law violations
BCSC alleges Barton, Gillespie illegally distributed securities
- By: James Langton
- August 29, 2012 August 29, 2012
- 13:30
OSC bans Chinese company for disclosure failures
Zungui Haixi Corp. executives ordered to pay $63,667 in costs
- By: James Langton
- August 29, 2012 August 29, 2012
- 10:40
FSA launches new review after finding suitability failings
British regulator to assess whether firms have fixed “systemic suitability failings”
- By: James Langton
- August 29, 2012 August 29, 2012
- 08:05
Former mutual fund sales reps fined $650,000
Satti, Ghani permanently banned
- By: Megan Harman
- August 27, 2012 August 27, 2012
- 16:50
Manor ordered to pay $8.8M in Portus case
OSC panel accepts tentative agreement reached last week
- By: James Langton
- August 27, 2012 August 27, 2012
- 16:10
Global regulators pledge to reform money market fund rules
IOSCO to review public feedback on proposed regulatory changes
- By: James Langton
- August 27, 2012 August 27, 2012
- 09:05
Former exempt market dealer accused of illegal distribution
BCSC alleges three men sold partnership $2 million of partnership agreements with being registered
- By: James Langton
- August 24, 2012 August 24, 2012
- 16:00
IIROC dealer fees set to rise
In its 2011-2012 annual report, the self-regulatory organization notes that some other fees will decrease
- By: James Langton
- August 24, 2012 August 24, 2012
- 12:00
OSC reaches tentative deals in Portus saga
Commission to consider proposed settlements with Portus co-founder Boaz Manor and two others
- By: James Langton
- August 24, 2012 August 24, 2012
- 11:10
OSC extends compliance orders against group RESPs
Regulators extends temporary orders involving Knowledge First Financial and Heritage Education Funds
- By: James Langton
- August 23, 2012 August 23, 2012
- 15:15
OSC plans fee hike
Proposed changes to funding model
- By: James Langton
- August 23, 2012 August 23, 2012
- 12:30
Ontario couple sanctioned in MDS tipping case
Shane Suman and Monie Rahman fined, ordered to disgorge $1 million to OSC
- By: James Langton
- August 23, 2012 August 23, 2012
- 11:40
Changes coming to cease trade orders database
Later this fall, CTOs will be classified into two new distinct groups
- By: James Langton
- August 23, 2012 August 23, 2012
- 11:30
IOSCO looking to improve market surveillance
Report outlines proposed recommendations for improving surveillance capabilities
- By: James Langton
- August 22, 2012 August 22, 2012
- 10:20