IOSCO releases final report on standards for OTC derivatives regulation
Report proposes global standards for regulating market participants
- By: James Langton
- June 6, 2012 June 6, 2012
- 14:15
Latest news in From the Regulators
OSFI issues draft guidance on mortgage underwriting
Final rules to be published soon
- By: James Langton
- June 6, 2012 June 6, 2012
- 14:00
IIROC launches redesigned website
Revamped site features a clear investor and industry focus
- By: IE Staff
- June 6, 2012 June 6, 2012
- 10:50
Offshore firms cold calling N.B. investors
NBSC seeks cease trade orders against firms in Hong Kong and Singapore
- By: James Langton
- June 6, 2012 June 6, 2012
- 10:00
OSC extending chairman’s term until 2015
Howard Wetston given two-year extension
- By: James Langton
- June 6, 2012 June 6, 2012
- 09:45
ASC says Genesis Land co-founder impeded investigation
Panel also dismisses allegations against former controller
- By: James Langton
- June 5, 2012 June 5, 2012
- 18:00
More sweeps coming from the OSC
Regulator tells compliance officers it has observed “significant deficiencies” at investment firms
- By: Patricia Chisholm
- June 5, 2012 June 5, 2012
- 15:00
OSC accuses First Leaside founder, salesman of deceiving investors
Hearing scheduled for June 25
- By: James Langton
- June 4, 2012 June 4, 2012
- 15:30
Glacier fund fraud fines total $1.3 million
OSC orders Sextant Capital to disgorge millions of dollars in fees
- By: Megan Harman
- June 4, 2012 June 4, 2012
- 11:00
OSC bans Alberta man for fraud
The order against Nicholas Reeves reciprocates a penalty that was imposed by the ASC in 2011
- By: James Langton
- June 4, 2012 June 4, 2012
- 10:00
Sask. regulator orders compensation for investors
West African Industries, others ordered to repay $226,000
- By: James Langton
- June 4, 2012 June 4, 2012
- 07:00
High frequency trading a key priority for IIROC
The SRO is studying HFT and its impact on liquidity, price formation, stability, volatility and overall confidence
- By: James Langton
- June 1, 2012 June 1, 2012
- 14:30
MSC eases penalties on Jory Capital, Patrick Cooney
Regulator lifts enhanced business restrictions facing Jory
- By: Megan Harman
- June 1, 2012 June 1, 2012
- 13:10
SEC approves new measures to address stock volatility
The new “limit up-limit down mechanism” will replace the existing single-stock circuit breakers
- By: James Langton
- June 1, 2012 June 1, 2012
- 11:30
IOSCO extends comment period for money market funds
Report proposes a range of possible policy options to address systemic risks posed by funds
- By: James Langton
- June 1, 2012 June 1, 2012
- 10:30
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
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