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
Latest news in From the Regulators
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
Portfolio Strategies fined $40,000
Firm admits to supervisory failings
- By: IE Staff
- July 12, 2012 July 12, 2012
- 15:00
IIROC proposes “restricted dealer” class for EMDs providing brokerage services
New category would allow U.S. broker dealers registered with FINRA to directly seek cross-membership with IIROC
- By: James Langton
- July 12, 2012 July 12, 2012
- 13:00
OSC seeks members for Investor Advisory Panel
Chairwoman Anita Anand has decided not to renew her appointment
- By: James Langton
- July 12, 2012 July 12, 2012
- 10:50
SEC approves plan to audit stock trades
Consolidated audit trail would require exchanges and SROs to create a database to monitor and analyze trading activity
- By: James Langton
- July 11, 2012 July 11, 2012
- 14:40
CFTC, SEC approve key derivatives rules
Approvals are another step in the establishment of a new U.S. regulatory regime for derivatives
- By: James Langton
- July 10, 2012 July 10, 2012
- 17:00