New B.C. restraints for executive compensation apply to BCSC
Policy freezes the compensation of all current executives
- By: James Langton
- July 26, 2012 July 26, 2012
- 13:30
Latest news in From the Regulators
Lax paperwork leads to $20,000 fine
Toronto broker failed to obtain written authorization for discretionary trades
- By: IE Staff
- July 26, 2012 July 26, 2012
- 09:15
Basel Committee tightens rules on derivatives
Banks to hold more capital for exposures to default funds
- By: James Langton
- July 25, 2012 July 25, 2012
- 18:30
AMF announces Education and Good Governance Fund projects
Over $950,000 granted to nine projects
- By: IE Staff
- July 25, 2012 July 25, 2012
- 09:40
UK regulator proposes changes to contingency fund
FSA’s proposed changes to the FSCS funding model aim to offer firms more certainty in the level of fees they pay
- By: James Langton
- July 25, 2012 July 25, 2012
- 08:40
EU may criminalize rate-rigging after LIBOR scandal
The European Commission is adopting amendments to regulatory proposals on insider dealing and market manipulation
- By: James Langton
- July 25, 2012 July 25, 2012
- 08:10
CFTC details timeline for swaps clearing
The final rule will phase in the clearing requirement based on the type of market participant entering into swaps
- By: James Langton
- July 24, 2012 July 24, 2012
- 17:00
Appeal court blocks BCSC reciprocal order
Court says regulator must have evidence or an admission of a defendant’s wrongdoing
- By: James Langton
- July 24, 2012 July 24, 2012
- 14:00
AMF issues derivatives warning
Panama firm soliciting Quebec investors
- By: James Langton
- July 24, 2012 July 24, 2012
- 10:25
Portfolio manager to pay $12,000 to BCSC
Kilburn Ogilvie Waymann failed to maintain regulatory capital, adequate compliance
- July 23, 2012 July 23, 2012
- 16:00
Former advisor defrauded investors, says OSC
A sanctions hearing for Shuan McErlean is scheduled for August 13
- By: James Langton
- July 23, 2012 July 23, 2012
- 10:55
Smaller UK banks to review sale of hedging products
FSA extends sales probe to seven more banks
- By: James Langton
- July 23, 2012 July 23, 2012
- 07:35
OSC lays charges in fraudulent share gifting scheme
Strategic Gifting Group raised over $300,000 from four Ontario charities
- By: James Langton
- July 20, 2012 December 14, 2017
- 17:30
ASC charges father and son with securities fraud
Regulator alleges Jay Peters sold securities of Federal Mortgage Corporation Ltd., without registering as a dealer
- By: James Langton
- July 20, 2012 July 20, 2012
- 17:00
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
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