AMF charges Quebec man with illegal distributions
Regulator says Sylvain Laroche is not registered to act as a securities dealer and derivatives advisor
- By: James Langton
- June 1, 2012 June 1, 2012
- 10:20
Latest news in From the Regulators
Canadian charged in $163 million Dominican Republic offering
SEC alleges material misrepresentations were made to investors amid the unregistered sale of interests in two resorts
- By: James Langton
- May 31, 2012 May 31, 2012
- 15:30
Finkelstein loses bid to stay tipping case
OSC panel concludes that a ‘Wells Process’ is not required in Ontario
- By: James Langton
- May 31, 2012 May 31, 2012
- 14:20
SEC should encourage FINRA to review rules: report
Limited oversight of compensation and governance issues
- By: James Langton
- May 30, 2012 May 30, 2012
- 17:30
OSFI warns of fraudsters posing as banking regulators
Information regarding scams should be forwarded to the Canadian Anti-Fraud Centre
- By: James Langton
- May 30, 2012 May 30, 2012
- 09:40
OSFI wants P&C data for testing capital requirements
Request intended to allow regulator to test changes to capital requirements
- By: James Langton
- May 29, 2012 May 29, 2012
- 14:40
U.S. court sanctions Canadian for his role in Ponzi scheme
Roche raised over US$1.3 million from at least 14 investors
- By: James Langton
- May 29, 2012 May 29, 2012
- 12:50
BCSC imposes 25 year trading bans on two promoters
Fines for Bains and Virk total $225,000 in alleged market manipulation case
- By: James Langton
- May 28, 2012 May 28, 2012
- 20:30
FSCO lays charges in alleged auto insurance fraud
Five rehab clinics charged with making false or misleading statements
- May 25, 2012 May 25, 2012
- 14:50
Alberta man agrees to trading ban in insider trading settlement
Son alerted father to Berens Energy transaction
- By: IE Staff
- May 25, 2012 May 25, 2012
- 12:30
ASC settles with man over allegations of illegal insider trading in Holtby case
Bratvold agrees to cease-trade order, and to pay regulator $238,000
- By: James Langton
- May 25, 2012 May 25, 2012
- 09:30
BCSC publishes proposed recognition orders regarding Maple TMX deal
Regulators seeks comments on whether takeover should be approved
- May 25, 2012 May 25, 2012
- 07:00
BCSC issues lifetime ban against B.C. man for fraud
Shantz ordered to pay $2.1 million for his role in Canadian Pacific Consulting scheme
- By: James Langton
- May 23, 2012 May 23, 2012
- 18:00
BCSC cease trades unregistered Bahamian company
Continued refusal to provide information to regulator makes Gibraltar Global Securities “unsuitable”
- By: James Langton
- May 23, 2012 May 23, 2012
- 18:00
Ex Calgary rep fined $35,000
IIROC panel hands Cuthbertson an 18 month suspension
- By: IE Staff
- May 23, 2012 October 13, 2023
- 15:00
New Brunswick man fined for misleading NBSC investigator
Mallett prohibited from soliciting money for any investment-related activity until 2015
- By: James Langton
- May 22, 2012 May 22, 2012
- 12:50
OSC accuses Sino-Forest, execs of fraud
Regulator says former executives attempted to mislead its investigation
- By: IE Staff
- May 22, 2012 May 22, 2012
- 11:10
Former New Life principals fined $1.5M
OSC finds that Pogachar and Lombardi traded without registration, committed fraud
- By: James Langton
- May 18, 2012 May 18, 2012
- 14:25
CCIR calls for increased client protection
Danielle Boulet, chairwoman of the Canadian Council of Insurance Regulators, says CCIR wants to formalize the industry’s long-standing concern about fair treatment of clients
- By: Olivia Glauberzon
- May 17, 2012 May 17, 2012
- 16:05
Ex PI Financial rep banned, fined $150,000
Pan loaned money to a client and made misrepresentations to his firm
- By: IE Staff
- May 17, 2012 May 17, 2012
- 15:00
Former B.C. rep fined $50,000
Mytting promised to guarantee the future value of an account, made unsuitable recommendations
- By: IE Staff
- May 17, 2012 May 17, 2012
- 14:25
FINRA improves BrokerCheck service
Additional features aimed at boosting ease of use, robustness of advisor database
- By: James Langton
- May 17, 2012 May 17, 2012
- 14:00
OSC cracks down on “jitney preferencing”
Regulator says that it believes the order allocation practice negatively impacts fair access to trading on marketplaces
- By: James Langton
- May 17, 2012 May 17, 2012
- 11:20
Japan’s Kono to head streamlined IOSCO board
Autstralia’s Medcraft to assume the post when Kono steps down in 2013
- By: James Langton
- May 17, 2012 May 17, 2012
- 10:00