Ex MGI salesman fined $150,000
Jose Bautista permanently banned by MFDA
- By: IE Staff
- July 12, 2012 July 12, 2012
- 15:25
Latest news in From the Regulators
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
AMF lays 19 charges over alleged illegal distribution
Quebec regulator seeking $125,000 in fines
- By: James Langton
- July 10, 2012 July 10, 2012
- 15:30
U.S. regulators file civil fraud charges against Peregrine
Audit uncovers US$220 million shortfall at futures brokerage; Canadian clients do not appear to be affected
- By: James Langton
- July 10, 2012 July 10, 2012
- 13:15
FINRA cautions investors on ETNs
Investor alert details the various, specific risks of exchange traded notes
- By: James Langton
- July 10, 2012 July 10, 2012
- 12:40
OSC bans ex Maitland Capital salesman
Steven Lanys ordered to pay $91,000
- By: James Langton
- July 9, 2012 July 9, 2012
- 15:30
Wellington West fined $60,000
Dealer failed to failed to properly process and price the sale of Opti Canada shares
- By: IE Staff
- July 9, 2012 July 9, 2012
- 14:15
New principles for derivative margining practices proposed
International consistency on margin requirements crucial, global regulators say
- By: James Langton
- July 6, 2012 July 6, 2012
- 16:50
OSC warns of scam involving illiquid stocks
Knox Securities Corp. added to investor warning list
- By: James Langton
- July 6, 2012 July 6, 2012
- 15:30
Ottawa sets new oversight on consumer banking complaints
Dispute settlement services will come under the supervision of the Financial Consumer Agency of Canada
- By: James Langton
- July 6, 2012 July 6, 2012
- 11:35
Provinces choose different paths on fund manager registration
Provincial regulators will adopt two different models for registering “non-resident” fund managers
- By: James Langton
- July 5, 2012 July 5, 2012
- 14:45
MFDA review aims for regulatory clarity
Regulator conducts client disclosure sweep
- By: James Langton
- July 5, 2012 July 5, 2012
- 13:20
IIROC sees increase in “inappropriate leveraging strategies”
Draft guidance suggests best practices to help dealers to properly supervise client accounts that employ a strategy of borrowing to invest
- By: James Langton
- July 5, 2012 July 5, 2012
- 07:30
OSFI proposes changes to regulatory capital for P&C insurers
The purpose of the capital definition review is to ensure that the capital remains sufficient to absorb losses in periods of stress
- By: James Langton
- July 4, 2012 July 4, 2012
- 17:00
More funding for FAIR Canada
IIROC to contribute $700,000 to investor advocacy group
- By: James Langton
- July 4, 2012 July 4, 2012
- 15:45
Australia, New Zealand agree on financial advisor qualifications
Mutual recognition of advisors will take effect July 6
- By: James Langton
- July 4, 2012 July 4, 2012
- 15:00
OSC issues warning on MI Capital, One Capital
Firms appear to be targeting investors across Canada
- By: IE Staff
- July 4, 2012 July 4, 2012
- 14:00
OTC company and directors broke securities laws, says BCSC panel
News releases falsely stated the value of Brookmount Explorations’ principal mining property
- By: IE Staff
- July 4, 2012 July 4, 2012
- 13:30
Competition Bureau won’t challenge Maple TMX deal
Orders set by the OSC have largely satisfied the Bureau’s concerns
- By: James Langton
- July 4, 2012 July 4, 2012
- 11:40
IOSCO meeting focuses on securitization report
Global securities regulators held a meeting earlier this week to discuss issues surrounding the need to both, revive the securitization market, and enhance oversight of…
- By: James Langton
- July 4, 2012 July 4, 2012
- 09:20
Dealers can distribute research reports issued by British firms: IIROC
Reports prepared under FSA authority must disclose difference in ownership threshold requirements
- By: James Langton
- July 4, 2012 July 4, 2012
- 09:00