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
Latest news in From the Regulators
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
IOSCO examines possible failure of “financial infrastructure” firms
Report outlines issues for recovery plans and resolution regimes for different types of firms
- By: James Langton
- July 31, 2012 July 31, 2012
- 09:15
Northern Securities facing IIROC penalty hearing
Panel finds the firm and three of its executives violated several rules
- By: Megan Harman
- July 30, 2012 July 30, 2012
- 16:20
Fed sets risk management standards for financial market utilities
Rule takes effect September 14
- By: IE Staff
- July 30, 2012 July 30, 2012
- 15:30
CFPB activism to drive firm costs higher: Fitch
The U.S. Consumer Financial Protection Bureau is taking an active role in regulation
- By: James Langton
- July 30, 2012 July 30, 2012
- 11:30
LIBOR review to consider whether rate setting should be regulated
UK Treasury sets terms for Wheatley review
- By: James Langton
- July 30, 2012 July 30, 2012
- 08:15
SEC alleges insider trading ahead of CNOOC Nexen deal
Regulator moves to freeze assets
- By: James Langton
- July 27, 2012 July 27, 2012
- 18:30
Enhanced FSCO would help fight auto insurance fraud
Ontario sees expanded role for insurance regulator
- By: James Langton
- July 27, 2012 July 27, 2012
- 11:50
Ex Raymond James rep sanctioned for unauthorized trades
IIROC panel imposes $20,000 fine
- By: IE Staff
- July 27, 2012 July 27, 2012
- 09:20
OSC orders Global RESP to improve compliance
Firm must retain independent monitor before it can take any new clients
- By: James Langton
- July 26, 2012 July 26, 2012
- 17:30
ASC, FINRA sign co-operation agreement
Agreement will facilitate the exchange of information, and support collaboration on investigations
- By: IE Staff
- July 26, 2012 July 26, 2012
- 14:20
New B.C. restraints for executive compensation apply to BCSC
Policy freezes the compensation of all current executives
- By: James Langton
- July 26, 2012 July 26, 2012
- 13:30
Lax paperwork leads to $20,000 fine
Toronto broker failed to obtain written authorization for discretionary trades
- By: IE Staff
- July 26, 2012 July 26, 2012
- 09:15
Basel Committee tightens rules on derivatives
Banks to hold more capital for exposures to default funds
- By: James Langton
- July 25, 2012 July 25, 2012
- 18:30
AMF announces Education and Good Governance Fund projects
Over $950,000 granted to nine projects
- By: IE Staff
- July 25, 2012 July 25, 2012
- 09:40
UK regulator proposes changes to contingency fund
FSA’s proposed changes to the FSCS funding model aim to offer firms more certainty in the level of fees they pay
- By: James Langton
- July 25, 2012 July 25, 2012
- 08:40
EU may criminalize rate-rigging after LIBOR scandal
The European Commission is adopting amendments to regulatory proposals on insider dealing and market manipulation
- By: James Langton
- July 25, 2012 July 25, 2012
- 08:10
CFTC details timeline for swaps clearing
The final rule will phase in the clearing requirement based on the type of market participant entering into swaps
- By: James Langton
- July 24, 2012 July 24, 2012
- 17:00
Appeal court blocks BCSC reciprocal order
Court says regulator must have evidence or an admission of a defendant’s wrongdoing
- By: James Langton
- July 24, 2012 July 24, 2012
- 14:00
AMF issues derivatives warning
Panama firm soliciting Quebec investors
- By: James Langton
- July 24, 2012 July 24, 2012
- 10:25