Portfolio manager to pay $12,000 to BCSC
Kilburn Ogilvie Waymann failed to maintain regulatory capital, adequate compliance
- July 23, 2012 July 23, 2012
- 16:00
Latest news in From the Regulators
Former advisor defrauded investors, says OSC
A sanctions hearing for Shuan McErlean is scheduled for August 13
- By: James Langton
- July 23, 2012 July 23, 2012
- 10:55
Smaller UK banks to review sale of hedging products
FSA extends sales probe to seven more banks
- By: James Langton
- July 23, 2012 July 23, 2012
- 07:35
OSC lays charges in fraudulent share gifting scheme
Strategic Gifting Group raised over $300,000 from four Ontario charities
- By: James Langton
- July 20, 2012 December 14, 2017
- 17:30
ASC charges father and son with securities fraud
Regulator alleges Jay Peters sold securities of Federal Mortgage Corporation Ltd., without registering as a dealer
- By: James Langton
- July 20, 2012 July 20, 2012
- 17:00
Raymond James rep sanctioned for unsuitable trades
Skelton agrees to pay $30,000 fine
- By: IE Staff
- July 20, 2012 July 20, 2012
- 14:40
Ex Winnipeg rep fined $25,000
Warkentin submitted false documents, made misleading statements
- By: IE Staff
- July 20, 2012 July 20, 2012
- 10:50
BCSC stays Steinhoff penalty pending hearing
B.C. advisor facing $100,000 fine and suspension from IIROC
- By: James Langton
- July 20, 2012 July 20, 2012
- 09:40
Three B.C. men illegally traded and distributed securities: BCSC
Trio distributed $3.5 million of Photo Violation Technologies shares without being registered
- By: IE Staff
- July 20, 2012 July 20, 2012
- 09:00
OSC accuses man of defrauding Kazakhstan pension fund
Charges laid against Berik Yessirkegenov and North American Business Equipment Corp.
- By: James Langton
- July 19, 2012 July 19, 2012
- 16:00
IIROC suspends Peregrine Canada
Suspension follows bankruptcy of U.S. parent company
- By: James Langton
- July 19, 2012 July 19, 2012
- 15:50
CSA disclosure reviews focused on IFRS
Fewer reviews completed in fiscal 2012 as regulators increased the number of full reviews
- By: James Langton
- July 19, 2012 July 19, 2012
- 11:40
UK boiler room scam victims to get compensation
FSA secures court order against Sinaloa Gold
- By: James Langton
- July 19, 2012 July 19, 2012
- 10:20
IIROC extends implementation of enhanced suitability assessment requirements
New deadline gives firms time to make systems changes
- By: James Langton
- July 19, 2012 July 19, 2012
- 09:15
U.S. FSOC names eight exchanges, clearinghouses systemically important
Firms will be subject to stricter oversight
- By: James Langton
- July 19, 2012 July 19, 2012
- 07:10
IIROC mulls suspension of Peregrine membership
The Investment Industry Regulatory Organization of Canada (IIROC) will hold an expedited hearing to consider suspending Peregrine Financial Group Canada, Inc. after the company’s U.S.…
- By: James Langton
- July 18, 2012 July 18, 2012
- 14:00
Futures industry tightens oversight of customer funds
In the wake of the failure of Peregrine Financial Group Inc. amid allegations that it misappropriated customer funds, a committee of futures industry regulators announced…
- By: James Langton
- July 18, 2012 July 18, 2012
- 12:30
B.C. advisor loses bid for court review of IIROC decision
B.C. Supreme Court dismisses case
- By: James Langton
- July 18, 2012 July 18, 2012
- 11:15
OSFI proposes new fee model for insurers
About two-thirds of insurers would see decreases in their assessments
- By: James Langton
- July 18, 2012 July 18, 2012
- 07:10
IIROC outlines abusive HFT strategies
Draft guidance stresses that tactics such as layering, quote stuffing, quote manipulation, among other, are market manipulation
- By: James Langton
- July 17, 2012 July 17, 2012
- 15:40
FBI arrests head of Peregrine Financial
Regulators report a US$200-million shortfall of client funds
- By: James Langton
- July 13, 2012 July 13, 2012
- 15:10
IIROC launches probe into Canadian lending rate setting
Regulator to review CDOR in light of LIBOR rate-fixing scandal
- By: The Canadian Press
- July 13, 2012 July 13, 2012
- 14:20
OSFI issues draft of revised capital rules for life insurers
Existing capital rules do not adequately provide for group policies where there is a sharing of risk between the insurer and the policyholder
- By: James Langton
- July 13, 2012 July 13, 2012
- 10:40
Former Investia salesman fined $150,000
Punch Bun Chiu Lui permanently prohibited from conducting securities related business for any MFDA firm
- By: Megan Harman
- July 12, 2012 July 12, 2012
- 16:10
Ex MGI salesman fined $150,000
Jose Bautista permanently banned by MFDA
- By: IE Staff
- July 12, 2012 July 12, 2012
- 15:25