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.…
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…
B.C. Supreme Court dismisses case
About two-thirds of insurers would see decreases in their assessments
Draft guidance stresses that tactics such as layering, quote stuffing, quote manipulation, among other, are market manipulation
Regulators report a US$200-million shortfall of client funds
Regulator to review CDOR in light of LIBOR rate-fixing scandal
Existing capital rules do not adequately provide for group policies where there is a sharing of risk between the insurer and the policyholder
Punch Bun Chiu Lui permanently prohibited from conducting securities related business for any MFDA firm
Jose Bautista permanently banned by MFDA
Firm admits to supervisory failings
New category would allow U.S. broker dealers registered with FINRA to directly seek cross-membership with IIROC
Chairwoman Anita Anand has decided not to renew her appointment
Consolidated audit trail would require exchanges and SROs to create a database to monitor and analyze trading activity
Approvals are another step in the establishment of a new U.S. regulatory regime for derivatives
Quebec regulator seeking $125,000 in fines
Audit uncovers US$220 million shortfall at futures brokerage; Canadian clients do not appear to be affected
Investor alert details the various, specific risks of exchange traded notes
Steven Lanys ordered to pay $91,000
Dealer failed to failed to properly process and price the sale of Opti Canada shares
International consistency on margin requirements crucial, global regulators say
Knox Securities Corp. added to investor warning list
Dispute settlement services will come under the supervision of the Financial Consumer Agency of Canada
Provincial regulators will adopt two different models for registering “non-resident” fund managers
Regulator conducts client disclosure sweep