IOSCO seeks input on controls for credit rating agencies
New report examines the internal controls that agencies use to address conflicts of interest, promote integrity
- By: James Langton
- May 25, 2012 May 25, 2012
- 10:30
Latest news in From the Regulators
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
Nine N.B. companies trading on foreign stock exchanges being investigated
The companies appear to be engaging in questionable activities in other countries, says NBSC
- By: James Langton
- May 17, 2012 May 17, 2012
- 09:35
FINRA warns investors of nutraceutical stock scams
Schemes lure investors to create unwarranted demand for shares of small, thinly traded companies
- By: James Langton
- May 16, 2012 May 16, 2012
- 11:45
NSSC sanctions promoter for Ponzi scheme
Sales operated Infinity Online Investors Group
- May 16, 2012 May 16, 2012
- 11:00
IOSCO slims down
The merger of key committees streamlines the organization’s governance structure and decision-making process
- By: James Langton
- May 16, 2012 May 16, 2012
- 10:10
Securities regulators celebrate 10 years of cross border enforcement
Four more countries sign IOSCO memorandum
- By: James Langton
- May 16, 2012 May 16, 2012
- 10:00
First Leaside head ordered to stop raising capital for suspended firm
Exemptions from securities law do not apply to David Phillips, OSC says
- By: James Langton
- May 15, 2012 May 15, 2012
- 17:30
NASAA cautions investors to be wary of crowdfunding
Regulators concerned that shady promoters will use exemption to fleece investors
- By: James Langton
- May 15, 2012 May 15, 2012
- 15:20
IIROC granted 66 rule exemptions in 2011
Majority were exemptions from provisions of the trading rules
- By: James Langton
- May 15, 2012 May 15, 2012
- 11:45
U.S. regulators issue guidance for bank stress testing
Guidance highlights the importance of stress testing as an ongoing risk management practice
- By: James Langton
- May 14, 2012 May 14, 2012
- 11:10
SEC suspends trading in 379 micro caps
Fraud fighting expels dormant shell companies
- By: James Langton
- May 14, 2012 May 14, 2012
- 10:40