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
Latest news in From the Regulators
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Draft guidance suggests best practices to help dealers to properly supervise client accounts that employ a strategy of borrowing to invest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
UK mulls criminal sanctions for bank misconduct
The British government is considering tougher sanctions against those who seriously mismanage banks, including the introduction of a new criminal offence. The UK Treasury said…
- By: James Langton
- July 3, 2012 July 3, 2012
- 15:20
FSCO to meet international standards for regulators
Final 2012 statement of priorities includes pledge to implement IAIS core principles
- By: Olivia Glauberzon
- July 3, 2012 January 21, 2018
- 14:50
FINRA launches pilot program for large arbitration cases
Faced with a growing number of large arbitration cases, U.S. regulators are launching a pilot program that allows adversaries in such cases to customize the…
- By: James Langton
- July 3, 2012 July 3, 2012
- 14:00
Quebec complaint handling deadline nears
Firms that fail to complay may face fines, AMF says
- By: James Langton
- July 3, 2012 July 3, 2012
- 13:00
OSC offers new funding to FAIR Canada
Money from sanctions to promote investor protection
- By: James Langton
- July 3, 2012 July 3, 2012
- 12:00
Madoff brother pleads guilty in Ponzi case
Peter Madoff faces 10 years in prison
- By: James Langton
- June 29, 2012 June 29, 2012
- 14:40
Domestic banks to face tougher rules in Basel plan
Proposed rules extend regime for global systemic banks
- By: James Langton
- June 29, 2012 June 29, 2012
- 11:35
ASC warns public about Bforex
BVI forex company not registered, regulator says
- By: IE Staff
- June 29, 2012 June 29, 2012
- 11:10
FSA reaches settlement with four UK banks on rate hedging
Banks agree to customer redress for poor sales practices in the sale of interest rate hedging products to SMEs
- June 29, 2012 June 29, 2012
- 08:20
OSC pledges to compensate wronged investors
Investor compensation added to the regulator’s statement of priorities
- By: James Langton
- June 28, 2012 June 28, 2012
- 14:50