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
Pan loaned money to a client and made misrepresentations to his firm
Mytting promised to guarantee the future value of an account, made unsuitable recommendations
Additional features aimed at boosting ease of use, robustness of advisor database
Regulator says that it believes the order allocation practice negatively impacts fair access to trading on marketplaces
Autstralia’s Medcraft to assume the post when Kono steps down in 2013
The companies appear to be engaging in questionable activities in other countries, says NBSC
Schemes lure investors to create unwarranted demand for shares of small, thinly traded companies
Sales operated Infinity Online Investors Group
The merger of key committees streamlines the organization’s governance structure and decision-making process
Four more countries sign IOSCO memorandum
Exemptions from securities law do not apply to David Phillips, OSC says
Regulators concerned that shady promoters will use exemption to fleece investors
Majority were exemptions from provisions of the trading rules
Guidance highlights the importance of stress testing as an ongoing risk management practice
Fraud fighting expels dormant shell companies
Regulator rejects Gentile’s motion to have case dismissed
Canada’s reputation sullied by firms engaged in abusive activities in the U.S. OTC markets
Ontario regulators says regulator the scam is using Aviva Canada’s logo, address and name
The task force’s efforts are expected to result in improved risk disclosure practices by financial institutions
Rule changes will now all take effect on Oct. 15
Temporary order issued against man promoting Velocity Entertainment on Cragslist
Regulator says perpetrators posed as OSC staff
Mitsui Sumitomo fined for corporate governance failings
CCIR paper recommends insurers clearly outline a requirement of agent supervision in their contracts with MGAs