MFDA makes risk the focus of new strategic plan
Riskier firms will be examined more frequently, regulator says
- By: James Langton
- April 24, 2012 April 24, 2012
- 10:30
Latest news in From the Regulators
UK regulator contacting people to warn of conmen
75,000 names on lists recovered from suspected UK boiler rooms
- By: James Langton
- April 24, 2012 April 24, 2012
- 09:40
BCSC issues warning on Panama-based firm
SeBond Capital added to investment caution list
- By: James Langton
- April 23, 2012 April 23, 2012
- 14:15
FSB reports “solid progress” in regulatory reforms
Efforts are underway to strengthen the oversight and regulation of shadow banking
- By: James Langton
- April 23, 2012 April 23, 2012
- 07:00
OSC Investor Advisory Panel to host webinar
Investors invited to participate
- By: IE Staff
- April 20, 2012 April 20, 2012
- 14:00
Quebec regulator to help consumers be more vigilant
AMF releases five-year strategic plan
- By: James Langton
- April 19, 2012 April 19, 2012
- 16:25
MFDA reserves decision regarding DFS branch manager
Case highlights gap between mutual fund and insurance regulation
- By: James Langton
- April 19, 2012 April 19, 2012
- 16:00
Firms get two years to conform to U.S. Volcker rule, Fed says
Final version of controversial banking rule yet to be adopted
- By: James Langton
- April 19, 2012 April 19, 2012
- 15:50
N.S. amendments harmonize securities legislation to national standard
Changes enable the Nova Scotia Securities Commission to conduct prosecution of insiders
- By: IE Staff
- April 19, 2012 April 19, 2012
- 11:15
Global regulators move to limit mortgage risks
Principles intended to provide a framework for countries to set minimum acceptable underwriting standards
- By: James Langton
- April 18, 2012 April 18, 2012
- 15:40
Pension unlocking scams prompt SFSC warning
Scams often target those who are in financial distress
- By: James Langton
- April 18, 2012 April 18, 2012
- 15:30
Ontario reps fined for forging client signatures
Rotstein and Zackheim agree to 12-month prohibition from registration
- By: IE Staff
- April 18, 2012 April 18, 2012
- 14:35
Ex branch manager fined for supervisory failings
Former Raymond James manager relied on rep
- By: IE Staff
- April 17, 2012 April 17, 2012
- 11:20
UK regulator sees increase in boiler room activity
FSA says the number of people who actually parted with their money has dropped
- By: James Langton
- April 17, 2012 April 17, 2012
- 09:30
FSCO warns of auto insurance card scam
Fraudulent insurance cards appear valid, but have false policy numbers and/or expiry dates, Ontario regulator says
- By: James Langton
- April 16, 2012 April 16, 2012
- 17:30
SEC charges OptionsXpress over naked short selling scheme
The firm, one customer, and four executives are facing allegations
- By: James Langton
- April 16, 2012 April 16, 2012
- 15:00
Global regulators issue new standards for financial market infrastructures
CPSS, IOSCO say principles are designed to strengthen operations and oversight of organizations
- By: James Langton
- April 16, 2012 April 16, 2012
- 10:00
BMO Nesbitt Burns settlement accepted
Investment dealer fined $50,000 for trading error
- By: IE Staff
- April 13, 2012 April 13, 2012
- 15:00
Fund dealers approved to commingle client assets
OSC approves amendments to MFDA rules concerning the segregation of client property
- By: James Langton
- April 13, 2012 April 13, 2012
- 14:30
Funds understating risk in Fund Facts filings: OSC
Fund names not consistent with investment objectives or investment strategies, regulator says
- By: James Langton
- April 13, 2012 April 13, 2012
- 14:00
Ex BMO Nesbitt rep fined $500,000
Former Toronto rep banned for breach of IIROC rules
- By: IE Staff
- April 13, 2012 April 13, 2012
- 13:00
CSA, IIROC announce new dark liquidity framework
Rule changes, to take effect Oct. 10, aim to ensure that small investors are protected
- By: James Langton
- April 13, 2012 April 13, 2012
- 11:40
CSA seeks comment on proposed OTC derivatives exemption
The exemption aims to ensure that firms seeking to hedge business risks aren’t discouraged from using OTC derivatives
- By: James Langton
- April 13, 2012 April 13, 2012
- 10:50
OSC Investor Advisor Panel seeks input
IAP looking for investor comments on a variety of issues including fiduciary duty and restitution
- By: James Langton
- April 12, 2012 April 12, 2012
- 15:00
Goldman to pay $US22 million
Payment to settle charges with SEC, FINRA of failing to supervise equity analysts
- By: James Langton
- April 12, 2012 April 12, 2012
- 11:30