Britain considers curbs on sale of alternative investments
FSA proposes ban on marketing “Unregulated Collective Investment Schemes” to retail investors
- By: James Langton
- August 22, 2012 August 22, 2012
- 09:10
Latest news in From the Regulators
Crowdfunding scams worry regulators
NASAA releases its annual list of financial products and practices that imperil unwary investors
- By: James Langton
- August 22, 2012 August 22, 2012
- 07:15
SEC criticized for lax oversight in $US25 million settlement plan
Distribution to aggrieved investors delayed for 16 months
- By: James Langton
- August 22, 2012 August 22, 2012
- 07:00
SEC pays out first whistleblower award
US$50,000 payout for recipient who provided evidence of securities fraud
- By: James Langton
- August 21, 2012 August 21, 2012
- 13:00
Regulators extend deadline for ABCP settlement funds
Extension to October 26 delays distribution of settlement funds
- By: James Langton
- August 21, 2012 August 21, 2012
- 12:00
Hedge funds pose limited risks to financial stability: FSA
British regulator notes that the total size of funds it surveyed remains modest in most markets
- By: James Langton
- August 21, 2012 August 21, 2012
- 09:20
IIROC issues guidance on erroneous trades
SRO may intervene when trades are “unreasonable”
- By: James Langton
- August 20, 2012 August 20, 2012
- 14:00
UK Treasury committee releases LIBOR report
Committee calls on the FSA to continue investigating other banks for possible LIBOR-rigging
- By: James Langton
- August 20, 2012 August 20, 2012
- 10:00
FSA nets biggest haul yet from insider trading crackdown
Former investment banker, wife to pay $2.4 million
- By: James Langton
- August 20, 2012 August 20, 2012
- 08:30
Ontario firm perpetrated $1.5-million fraud: OSC
Empire Consulting exploited weaknesses of investors, panel finds
- By: Megan Harman
- August 17, 2012 August 17, 2012
- 15:30
Mining disclosure concerns CSA
Regulators aim to address compliance problems with “preliminary economic assessments”
- By: James Langton
- August 16, 2012 August 16, 2012
- 11:10
CSA extends comment period for proxy voting regulations
Deadline extended to September 21
- By: James Langton
- August 16, 2012 August 16, 2012
- 10:20
IIROC says two B.C. reps failed as gatekeepers
Myatovic and Lowe to face penalty hearing
- By: IE Staff
- August 15, 2012 August 15, 2012
- 15:00
OSFI revises earthquake exposure guideline
Changes to the capital rules for P&C insurers aim to improve their ability to capitalize against earthquakes
- By: James Langton
- August 15, 2012 August 15, 2012
- 13:30
FINRA expels firm for misstating financial records
CEO and CFO of WJB Capital Group sanctioned
- By: James Langton
- August 15, 2012 August 15, 2012
- 11:10
British bank reaches settlement with New York regulator
Standard Chartered Bank to pay US$340 million penalty
- By: James Langton
- August 14, 2012 August 14, 2012
- 15:00
OSC orders compliance improvements at Heritage Education Funds
HEF is the third scholarship plan to receive an OSC order in recent weeks
- By: James Langton
- August 14, 2012 August 14, 2012
- 12:35
Compensation models must be suitable to clients: IIROC
Draft guidance aims to enhance retail investor protection, and clarify what dealers need to do to meet their regulatory obligations
- By: James Langton
- August 14, 2012 August 14, 2012
- 12:00
IIROC extends comment period for marketplace thresholds
Firms get more time to respond to Knight Capital trading glitch
- By: James Langton
- August 13, 2012 August 13, 2012
- 15:55
OSFI outlines implementation of Basel III rules
Banks must start providing better disclosure in Q1 2013
- By: James Langton
- August 13, 2012 August 13, 2012
- 11:45
Broker pair fined for Earl Jones fraud roles
RBC DS fined $500,000; Two Montreal brokers each fined $100,000
- By: IE Staff
- August 13, 2012 August 13, 2012
- 10:30
OSC imposes conditions on scholarship plan dealer
Knowledge First Financial must appoint independent KYC monitor
- By: James Langton
- August 10, 2012 August 10, 2012
- 16:45
TSXV recognition order now in effect: BCSC
B.C. regulator publishes letters of undertakings
- By: James Langton
- August 10, 2012 August 10, 2012
- 13:20
Ottawa publishes PRPP regulations
OSFI to levy fees to cover the cost of licensing and providing ongoing supervision of pooled registered pension plans
- By: James Langton
- August 10, 2012 August 10, 2012
- 12:45
British regulator reviewing LIBOR practices
Discussion paper outlines weaknesses that have eroded LIBOR’s credibility as a benchmark and sets out details on reform
- By: James Langton
- August 10, 2012 August 10, 2012
- 08:30