BMO InvestorLine cleared to offer advice service
Online brokerage granted registration exemption to provided recommendations on mutual funds and equities to clients
- By: James Langton
- August 9, 2012 August 9, 2012
- 15:00
Latest news in From the Regulators
CIBC World Markets fined $85,000
Dealer allowed unsuitable options trades for two clients
- By: IE Staff
- August 9, 2012 August 9, 2012
- 10:30
OSFI issues draft of revised capital rules for banks
Guideline reflects Basel reforms
- By: James Langton
- August 7, 2012 August 7, 2012
- 15:45
Alberta insider fined $60,000
Healing had advance notice of acquisition of Matrikon
- By: IE Staff
- August 7, 2012 August 7, 2012
- 15:40
Woman fined $20,000 for withholding information from ASC
Investigation involved restated interim financial statements of Genesis Land Development Corp.
- By: IE Staff
- August 7, 2012 August 7, 2012
- 14:40
B.C. company, two directors broke securities laws: BCSC
JV Raleigh Superior Holdings sold securities without being registered
- By: IE Staff
- August 7, 2012 August 7, 2012
- 13:00
OSFI proposes changes to corporate governance guidelines
Revisions reflect developments in international standards
- By: James Langton
- August 7, 2012 August 7, 2012
- 10:30
SEC freezes more funds in Nexen insider trading case
Emergency court order freezes US$6.5 million in assets
- By: James Langton
- August 7, 2012 August 7, 2012
- 07:00
OSC expands Investor Advisory Panel mandate
The commission has decided against appointing one full-time member to the panel
- By: James Langton
- August 3, 2012 August 3, 2012
- 13:00
IIROC 2012 strategic plan adds new goals
Plan will guide IIROC’s efforts to strengthen investor protection and stakeholder confidence
- By: James Langton
- August 3, 2012 August 3, 2012
- 11:00
Ex CIBC WM rep fined for gatekeeper failings
B.C. broker claimed he had met two clients when he had not, and accepted trading instructions for clients from a third party
- By: IE Staff
- August 3, 2012 August 3, 2012
- 10:30
Peregrine Canada to issue final account statements
IIROC advises clients to check for any discrepancies
- By: James Langton
- August 2, 2012 August 2, 2012
- 15:30
OSC finds shortcomings in portfolio disclosure of funds
Review calls on fund managers to provide more meaningful information to investors
- By: James Langton
- August 2, 2012 August 2, 2012
- 15:20
IIROC bans rep for forgery
Former Montreal broker misrepresented her credentials
- By: IE Staff
- August 2, 2012 August 2, 2012
- 15:00
BCSC alleges $7 million market manipulation in shares of OSE Corp.
Group sold shares to unsuspecting clients
- By: IE Staff
- August 2, 2012 August 2, 2012
- 14:30
Fund dealer officers lose bid to have their registrations reinstated
Investment House co-founders failed to manage conflicts of interest, says OSC
- By: James Langton
- August 2, 2012 August 2, 2012
- 14:00
OSC panel rules insider trading by RIM exec was “abusive”
Paul Donald bought $300,000 of Certicom shares after learning RIM was interested in acquiring the company
- August 2, 2012 August 2, 2012
- 12:20
ASC reciprocates bans against two Asia-based firms
MI Capital, One Capital initially banned by NBSC
- By: IE Staff
- August 2, 2012 August 2, 2012
- 11:00
Former Waterloo, Ont. insurance broker charged with fraud
Police allege Daniel Reeve stole millions through private-equity investments
- By: Olivia Glauberzon
- August 1, 2012 August 1, 2012
- 14:40
OSC increases fine against former rep
An IIROC hearing panel erred when it limited the fine against Mark Dennis to $1 million
- By: James Langton
- August 1, 2012 August 1, 2012
- 14:15
BCSC alleges two men facilitated secret promotion of securities
Tout sheet featured several U.S. OTCBB-listed companies
- By: IE Staff
- August 1, 2012 August 1, 2012
- 13:00
OSC to consider review of Schoer penalty decision
IIROC banned Toronto rep for using client money to pay off other clients
- By: James Langton
- July 31, 2012 July 31, 2012
- 15:50
BCSC alleges life insurance agent committed fraud
Regulator alleges agent transferred $1.3 million of investor money to her personal account
- By: James Langton
- July 31, 2012 July 31, 2012
- 15:00
Stronger over-the-counter disclosure rules take effect
New rule imposes disclosure requirements on issuers that are quoted on the U.S. OTC markets and have a "significant connection" to a Canadian jurisdiction
- By: James Langton
- July 31, 2012 July 31, 2012
- 13:30
FINRA bars ex Swift trade CEO
Beck settles with U.S. regulator, neither admitting nor denying the charges
- By: James Langton
- July 31, 2012 July 31, 2012
- 10:10