U.S. regulators accuse RBC of using sham futures trades for tax benefits
Royal Bank calls CFTC lawsuit “meritless”
- By: James Langton
- April 2, 2012 April 2, 2012
- 16:00
Latest news in From the Regulators
Vancouver man charged with securities fraud
West charged with eight counts, in connection with Provina Capital
- By: IE Staff
- April 2, 2012 April 2, 2012
- 14:10
OSC seeks input on priorities
Fiduciary duty for advisors, cost of mutual fund ownership highlighted in the regulator’s draft statement of priorities
- By: James Langton
- March 30, 2012 March 30, 2012
- 14:40
Appeal court backs OSC on fines
Watt Carmichael officers lose bid to have penalties struck down
- By: James Langton
- March 30, 2012 March 30, 2012
- 13:20
Ontario man jailed for unregistered trading
Abel Da Silva breached three OSC cease trade orders
- By: James Langton
- March 30, 2012 March 30, 2012
- 13:00
Quebec money services regime in force April 1
Businesses must now hold a licence issued by the AMF
- By: James Langton
- March 30, 2012 March 30, 2012
- 12:30
Plain language rewrite continues at IIROC
Among the “clean up” amendments is a proposed rule on commissions
- By: James Langton
- March 30, 2012 March 30, 2012
- 10:20
CSA aims to improve public understanding of foreign exchange trading
Investors warned against dealing with unregistered Forex firms
- By: IE Staff
- March 29, 2012 March 29, 2012
- 10:50
IIROC sets new fee models
25% of firms will see a decrease and 37% will see an increase in fees under the new dealer regulation model
- By: IE Staff
- March 29, 2012 March 29, 2012
- 10:20
Top court denies Drabinsky appeal bid
Supreme Court will not hear appeal of former theatre mogul
- By: The Canadian Press
- March 29, 2012 March 29, 2012
- 09:30
B.C. man arrested for fraud and theft
Michael Chodorowski charged for allegedly defrauding investors of more than $2 million
- By: IE Staff
- March 28, 2012 March 28, 2012
- 15:30
UK client compensation up sharply: FSA
Regulator says the percentage of complaints upheld during the second half of 2011 rose to 60%
- By: James Langton
- March 28, 2012 March 28, 2012
- 12:00
Ontario to boost OSC enforcement
Province plans to further enhance the effectiveness of insurance sector regulation
- By: James Langton
- March 27, 2012 March 27, 2012
- 15:30
Two Calgary men accused in $50 million Ponzi scheme
TransCap and Strata-Trade raised $51.6 million by promising low-risk investments with returns of 18 to 22%
- By: The Canadian Press
- March 26, 2012 March 26, 2012
- 16:10
Response to MSC investor education campaign “overwhelmingly positive”
Campaign's visual components attract attention
- By: James Langton
- March 26, 2012 March 26, 2012
- 15:00
Equity return models that use mean reversion not allowed: OSFI
Regulator explains rationale behind its decision not to allow insurance firms to use internal models that incorporate mean reversion in equity returns
- By: James Langton
- March 26, 2012 March 26, 2012
- 14:00
Toronto police charge fund salesman with fraud
Wilton Neale faces 11 charges in fraud investigation
- By: James Langton
- March 26, 2012 March 26, 2012
- 13:55
IIROC implements Client Relationship Model rules
Some of the new requirements take effect immediately, while others will be phased in over the next two years
- By: James Langton
- March 26, 2012 March 26, 2012
- 13:20
Ontario regulators’ compensation grows
The number of OSC employees earning more than $100,000 has increased
- By: James Langton
- March 26, 2012 March 26, 2012
- 10:00
Ex TD Waterhouse rep fined $40,000 for forging letter to client
Letter misrepresented an investment product recommended to the client
- By: IE Staff
- March 23, 2012 March 23, 2012
- 14:30
IIROC to consolidate rulebook
Proposals aim to streamline enforcement between market and dealer member matters
- By: James Langton
- March 23, 2012 March 23, 2012
- 11:40
CSA lays groundwork for regulating dark trading
Framework would allow regulators to impose size requirement on dark orders
- By: James Langton
- March 23, 2012 March 23, 2012
- 08:30
OSC bans pair for sale of unregistered bonds
Chau and Tulsiani sanctioned for scheme that raised over $4 million
- By: IE Staff
- March 22, 2012 March 22, 2012
- 16:40
ESMA launches consultation on proxy advisors
Discussion paper examines the development of the proxy advisory industry in Europe
- By: James Langton
- March 22, 2012 March 22, 2012
- 16:30