FSA fines, bans former HBOS banker
Peter Cummings gets record UK fine
- By: James Langton
- September 12, 2012 September 12, 2012
- 14:00
Latest news in From the Regulators
IIROC to focus on CRM in year ahead
Six new individuals elected to board; Harris named chairwoman
- By: James Langton
- September 12, 2012 September 12, 2012
- 13:10
New president pledges to make NASAA heard in reform efforts
Arkansas’ Abshure begins one-year term
- By: James Langton
- September 12, 2012 September 12, 2012
- 10:00
BlackRock fined $15 million by FSA over client money
Identifying and protecting client money should be at the top of every firm’s agenda, says UK regulator
- By: James Langton
- September 11, 2012 September 11, 2012
- 09:10
Supreme Court turns down B.C. trader
TSXV trader subject to BCSC’s jurisdiction
- By: James Langton
- September 10, 2012 September 10, 2012
- 15:35
NASAA launches First Nations investor outreach program
Initiative will provide investor education resources to aboriginal populations in the United States and Canada
- By: James Langton
- September 10, 2012 September 10, 2012
- 13:20
Ontario man fined $750,000 for investment scheme
OSC orders Vincent Ciccone to disgorge over $15 million of investor funds
- By: IE Staff
- September 10, 2012 September 10, 2012
- 12:50
NASAA identifies top broker dealer compliance violations
State securities regulators offer recommended best practices
- By: James Langton
- September 10, 2012 September 10, 2012
- 11:00
BIS to set up joint body to examine LIBOR
Central bank governors are looking at possible changes to the way benchmark rates are set
- By: James Langton
- September 10, 2012 September 10, 2012
- 10:40
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
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