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
Latest news in From the Regulators
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
Regulators call for greater oversight of Islamic markets
Disclosure regimes to be examined as Islamic capital market grows
- By: James Langton
- September 18, 2012 September 18, 2012
- 09:20
IIROC mulls portfolio based margining
A study suggests portfolio-based margining would achieve a better match between funding, collateral and risks
- By: James Langton
- September 17, 2012 September 17, 2012
- 15:00
BCSC alleges illegal distributions, fraud
Four real estate development companies not registered to sell securities
- By: James Langton
- September 17, 2012 September 17, 2012
- 13:30
ESMA proposes compensation guidelines for investment services
Regulators seek to prevent use of distorting incentives that can harm investors
- By: James Langton
- September 17, 2012 September 17, 2012
- 09:50
ASC accuses real estate syndicator of illegal distributions
Regulator says brother and sister team raised over $58 million
- By: The Canadian Press
- September 14, 2012 September 14, 2012
- 14:20
Group endorses revised Basel principles
Core principles for effective banking supervision endorsed by global bank supervisors
- By: James Langton
- September 14, 2012 September 14, 2012
- 10:10
IOSCO to study LIBOR, other benchmarks
Global regulators create task force on financial market benchmarks
- By: James Langton
- September 14, 2012 September 14, 2012
- 10:05
Insurance regulator suspends B.C. agent
Insurance Council alleges misuse of client funds
- By: James Langton
- September 14, 2012 September 14, 2012
- 09:00
CSA revises proposed venture issuers rule
Regulators change course on quarterly reports
- By: James Langton
- September 13, 2012 September 13, 2012
- 10:40
Ontario reduces deficit
Economic growth remains modest
- By: James Langton
- September 13, 2012 September 13, 2012
- 09:15