New Brunswick man fined $24,000 over loan arrangement
Trites was never registered with NBSC to trade in securities
- By: James Langton
- August 29, 2012 August 29, 2012
- 13:45
Latest news in From the Regulators
B.C. men arrested, charged with securities law violations
BCSC alleges Barton, Gillespie illegally distributed securities
- By: James Langton
- August 29, 2012 August 29, 2012
- 13:30
OSC bans Chinese company for disclosure failures
Zungui Haixi Corp. executives ordered to pay $63,667 in costs
- By: James Langton
- August 29, 2012 August 29, 2012
- 10:40
FSA launches new review after finding suitability failings
British regulator to assess whether firms have fixed “systemic suitability failings”
- By: James Langton
- August 29, 2012 August 29, 2012
- 08:05
Former mutual fund sales reps fined $650,000
Satti, Ghani permanently banned
- By: Megan Harman
- August 27, 2012 August 27, 2012
- 16:50
Manor ordered to pay $8.8M in Portus case
OSC panel accepts tentative agreement reached last week
- By: James Langton
- August 27, 2012 August 27, 2012
- 16:10
Global regulators pledge to reform money market fund rules
IOSCO to review public feedback on proposed regulatory changes
- By: James Langton
- August 27, 2012 August 27, 2012
- 09:05
Former exempt market dealer accused of illegal distribution
BCSC alleges three men sold partnership $2 million of partnership agreements with being registered
- By: James Langton
- August 24, 2012 August 24, 2012
- 16:00
IIROC dealer fees set to rise
In its 2011-2012 annual report, the self-regulatory organization notes that some other fees will decrease
- By: James Langton
- August 24, 2012 August 24, 2012
- 12:00
OSC reaches tentative deals in Portus saga
Commission to consider proposed settlements with Portus co-founder Boaz Manor and two others
- By: James Langton
- August 24, 2012 August 24, 2012
- 11:10
OSC extends compliance orders against group RESPs
Regulators extends temporary orders involving Knowledge First Financial and Heritage Education Funds
- By: James Langton
- August 23, 2012 August 23, 2012
- 15:15
OSC plans fee hike
Proposed changes to funding model
- By: James Langton
- August 23, 2012 August 23, 2012
- 12:30
Ontario couple sanctioned in MDS tipping case
Shane Suman and Monie Rahman fined, ordered to disgorge $1 million to OSC
- By: James Langton
- August 23, 2012 August 23, 2012
- 11:40
Changes coming to cease trade orders database
Later this fall, CTOs will be classified into two new distinct groups
- By: James Langton
- August 23, 2012 August 23, 2012
- 11:30
IOSCO looking to improve market surveillance
Report outlines proposed recommendations for improving surveillance capabilities
- By: James Langton
- August 22, 2012 August 22, 2012
- 10:20
Britain considers curbs on sale of alternative investments
FSA proposes ban on marketing “Unregulated Collective Investment Schemes” to retail investors
- By: James Langton
- August 22, 2012 August 22, 2012
- 09:10
Crowdfunding scams worry regulators
NASAA releases its annual list of financial products and practices that imperil unwary investors
- By: James Langton
- August 22, 2012 August 22, 2012
- 07:15
SEC criticized for lax oversight in $US25 million settlement plan
Distribution to aggrieved investors delayed for 16 months
- By: James Langton
- August 22, 2012 August 22, 2012
- 07:00
SEC pays out first whistleblower award
US$50,000 payout for recipient who provided evidence of securities fraud
- By: James Langton
- August 21, 2012 August 21, 2012
- 13:00
Regulators extend deadline for ABCP settlement funds
Extension to October 26 delays distribution of settlement funds
- By: James Langton
- August 21, 2012 August 21, 2012
- 12:00
Hedge funds pose limited risks to financial stability: FSA
British regulator notes that the total size of funds it surveyed remains modest in most markets
- By: James Langton
- August 21, 2012 August 21, 2012
- 09:20
IIROC issues guidance on erroneous trades
SRO may intervene when trades are “unreasonable”
- By: James Langton
- August 20, 2012 August 20, 2012
- 14:00
UK Treasury committee releases LIBOR report
Committee calls on the FSA to continue investigating other banks for possible LIBOR-rigging
- By: James Langton
- August 20, 2012 August 20, 2012
- 10:00
FSA nets biggest haul yet from insider trading crackdown
Former investment banker, wife to pay $2.4 million
- By: James Langton
- August 20, 2012 August 20, 2012
- 08:30
Ontario firm perpetrated $1.5-million fraud: OSC
Empire Consulting exploited weaknesses of investors, panel finds
- By: Megan Harman
- August 17, 2012 August 17, 2012
- 15:30