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
Latest news in From the Regulators
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
OSC, IIROC unveil distribution plans for $60 million ABCP settlement
Ernst & Young to administer the return of funds to investors
- By: James Langton
- April 12, 2012 April 12, 2012
- 10:30
Big banks had almost €500 billion capital shortfall: Basel
More capital needed to meet Basel III requirements
- By: James Langton
- April 12, 2012 April 12, 2012
- 09:40
Fund dealer fined $25,000
Deficiencies found during Independent Accountants’ Investment Group compliance exam
- By: Megan Harman
- April 11, 2012 April 11, 2012
- 16:30
FSCO to review suitability of life insurance products
Market conduct review included in Ontario regulator’s draft statement of priorities
- By: James Langton
- April 9, 2012 April 9, 2012
- 11:55
OSC nearly done fraud probe of Sino Forest
Officials considering enforcement
- By: The Canadian Press
- April 9, 2012 April 9, 2012
- 07:50
NBSC imposes $250,000 in penalties on Alberta couple
Weeres and Donszelman banned for their roles in Shaker Management investment scheme
- By: James Langton
- April 5, 2012 April 5, 2012
- 17:15
New U.S. legislation sacrifices investor protection, regulators say
JOBS Act creates registration exemption that could enable scam artists
- By: James Langton
- April 5, 2012 April 5, 2012
- 16:25
B.C. man fined $65,000 for selling U.S. securities
Dyer raised US$836,000 for Nevada company
- By: IE Staff
- April 5, 2012 April 5, 2012
- 14:10
Saskatchewan court dismisses appeal by advisor, firm
Link permanently banned, ordered to repay $1.2 million to investors
- By: James Langton
- April 5, 2012 April 5, 2012
- 12:15
Financial firms to face tougher governance standards
Role played by boards of directors “all the more crucial” in today’s climate: Dickson
- By: James Langton
- April 5, 2012 April 5, 2012
- 09:30
Former CIBC rep requests review of IIROC decision
McErlean faces fines totalling $75,000
- By: Megan Harman
- April 4, 2012 April 4, 2012
- 15:00
Former notary public committed $83M fraud, BCSC alleges
Financial planner Arvin Patel permanently banned for his role in the fraud
- By: IE Staff
- April 4, 2012 April 4, 2012
- 12:20
JPMorgan Chase fined US$20M
CFTC finds that firm unlawfully handled Lehman Brothers’ seg funds
- By: James Langton
- April 4, 2012 April 4, 2012
- 11:55
FSA fines J.P. Morgan executive £450,000
British regulator alleges Hannam disclosed inside information
- By: James Langton
- April 4, 2012 April 4, 2012
- 07:55
Regulators move to strengthen cross-border supervision of financial firms
Senior staff at SEC, OSC agree to meet regularly
- By: James Langton
- April 3, 2012 April 3, 2012
- 15:15
Former Vancouver branch manager fined $50,000
Murdoch failed to adequately supervise a registered rep
- By: Megan Harman
- April 3, 2012 April 3, 2012
- 15:00
Canada progresses on Basel banking reforms
Peer review program will assess whether national rules meet global standards
- By: James Langton
- April 3, 2012 April 3, 2012
- 11:55
Illegal distribution cases dominate NBSC’s enforcement activity
Penalties totalled $1.3 million in 2011, regulator reports
- By: James Langton
- April 3, 2012 April 3, 2012
- 11:35
Presidential election derivatives constitute gambling: CFTC
Regulator prohibits contracts proposed by Nadex
- By: James Langton
- April 3, 2012 April 3, 2012
- 07:45
FSCO issues warning about unlicensed firms
Royal Insurance, American Insurance not licensed in Ontario
- By: James Langton
- April 3, 2012 April 3, 2012
- 07:35