Ex CIBC WM rep fined for gatekeeper failings
B.C. broker claimed he had met two clients when he had not, and accepted trading instructions for clients from a third party
- By: IE Staff
- August 3, 2012 August 3, 2012
- 10:30
Latest news in From the Regulators
Peregrine Canada to issue final account statements
IIROC advises clients to check for any discrepancies
- By: James Langton
- August 2, 2012 August 2, 2012
- 15:30
OSC finds shortcomings in portfolio disclosure of funds
Review calls on fund managers to provide more meaningful information to investors
- By: James Langton
- August 2, 2012 August 2, 2012
- 15:20
IIROC bans rep for forgery
Former Montreal broker misrepresented her credentials
- By: IE Staff
- August 2, 2012 August 2, 2012
- 15:00
BCSC alleges $7 million market manipulation in shares of OSE Corp.
Group sold shares to unsuspecting clients
- By: IE Staff
- August 2, 2012 August 2, 2012
- 14:30
Fund dealer officers lose bid to have their registrations reinstated
Investment House co-founders failed to manage conflicts of interest, says OSC
- By: James Langton
- August 2, 2012 August 2, 2012
- 14:00
OSC panel rules insider trading by RIM exec was “abusive”
Paul Donald bought $300,000 of Certicom shares after learning RIM was interested in acquiring the company
- August 2, 2012 August 2, 2012
- 12:20
ASC reciprocates bans against two Asia-based firms
MI Capital, One Capital initially banned by NBSC
- By: IE Staff
- August 2, 2012 August 2, 2012
- 11:00
Former Waterloo, Ont. insurance broker charged with fraud
Police allege Daniel Reeve stole millions through private-equity investments
- By: Olivia Glauberzon
- August 1, 2012 August 1, 2012
- 14:40
OSC increases fine against former rep
An IIROC hearing panel erred when it limited the fine against Mark Dennis to $1 million
- By: James Langton
- August 1, 2012 August 1, 2012
- 14:15
BCSC alleges two men facilitated secret promotion of securities
Tout sheet featured several U.S. OTCBB-listed companies
- By: IE Staff
- August 1, 2012 August 1, 2012
- 13:00
OSC to consider review of Schoer penalty decision
IIROC banned Toronto rep for using client money to pay off other clients
- By: James Langton
- July 31, 2012 July 31, 2012
- 15:50
BCSC alleges life insurance agent committed fraud
Regulator alleges agent transferred $1.3 million of investor money to her personal account
- By: James Langton
- July 31, 2012 July 31, 2012
- 15:00
Stronger over-the-counter disclosure rules take effect
New rule imposes disclosure requirements on issuers that are quoted on the U.S. OTC markets and have a "significant connection" to a Canadian jurisdiction
- By: James Langton
- July 31, 2012 July 31, 2012
- 13:30
FINRA bars ex Swift trade CEO
Beck settles with U.S. regulator, neither admitting nor denying the charges
- By: James Langton
- July 31, 2012 July 31, 2012
- 10:10
IOSCO examines possible failure of “financial infrastructure” firms
Report outlines issues for recovery plans and resolution regimes for different types of firms
- By: James Langton
- July 31, 2012 July 31, 2012
- 09:15
Northern Securities facing IIROC penalty hearing
Panel finds the firm and three of its executives violated several rules
- By: Megan Harman
- July 30, 2012 July 30, 2012
- 16:20
Fed sets risk management standards for financial market utilities
Rule takes effect September 14
- By: IE Staff
- July 30, 2012 July 30, 2012
- 15:30
CFPB activism to drive firm costs higher: Fitch
The U.S. Consumer Financial Protection Bureau is taking an active role in regulation
- By: James Langton
- July 30, 2012 July 30, 2012
- 11:30
LIBOR review to consider whether rate setting should be regulated
UK Treasury sets terms for Wheatley review
- By: James Langton
- July 30, 2012 July 30, 2012
- 08:15
SEC alleges insider trading ahead of CNOOC Nexen deal
Regulator moves to freeze assets
- By: James Langton
- July 27, 2012 July 27, 2012
- 18:30
Enhanced FSCO would help fight auto insurance fraud
Ontario sees expanded role for insurance regulator
- By: James Langton
- July 27, 2012 July 27, 2012
- 11:50
Ex Raymond James rep sanctioned for unauthorized trades
IIROC panel imposes $20,000 fine
- By: IE Staff
- July 27, 2012 July 27, 2012
- 09:20
OSC orders Global RESP to improve compliance
Firm must retain independent monitor before it can take any new clients
- By: James Langton
- July 26, 2012 July 26, 2012
- 17:30
ASC, FINRA sign co-operation agreement
Agreement will facilitate the exchange of information, and support collaboration on investigations
- By: IE Staff
- July 26, 2012 July 26, 2012
- 14:20