Asset manager hid Madoff-related losses from clients, U.S. regulators allege
Battoo overstated the value of investments, says SEC
- By: James Langton
- September 7, 2012 September 7, 2012
- 16:30
Latest news in From the Regulators
SEC reminds investors to safeguard securities certificates
Stolen certificates can result in fraud
- By: James Langton
- September 7, 2012 September 7, 2012
- 16:25
BCSC revokes temporary order in alleged Ponzi case
Panel dismisses application to extend order against two Burnaby residents
- By: James Langton
- September 7, 2012 September 7, 2012
- 15:20
Task force considers new rules for structured products
Regulatory experts will explore options at Brussels meeting
- By: James Langton
- September 6, 2012 September 6, 2012
- 16:20
Advisor misappropriated $11.6M from investors, MFDA alleges
Regulator issues notice of hearing
- By: IE Staff
- September 6, 2012 September 6, 2012
- 15:50
Laurentian Bank Securities fined $140,000 in leveraged ETF case
Company failed to ensure supervisors were trained on features, risks of leveraged ETFs
- By: Megan Harman
- September 6, 2012 September 6, 2012
- 15:10
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
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