Trapeze Asset Management fined $1 million
The firm, its CEO and chairman admit to breaching KYC and suitability obligations
- By: James Langton
- April 27, 2012 April 27, 2012
- 16:25
Latest news in From the Regulators
IOSCO examines risks posed by money market funds
The performance of money market funds during financial turmoil highlight their potential to spread or amplify a crisis
- By: James Langton
- April 27, 2012 April 27, 2012
- 11:40
FSB examines risks from securities lending and repos
Report identifies seven issues that might pose risks to financial stability
- By: James Langton
- April 27, 2012 April 27, 2012
- 09:35
Ontario man charged in $1.2 million securities fraud case
Company set up to collectively purchase shares in two publicly traded mining companies
- By: James Langton
- April 26, 2012 April 26, 2012
- 14:50
IOSCO proposes liquidity risk principles for fund managers
Principles designed to ensure that funds are able to meet their redemption obligations
- By: James Langton
- April 26, 2012 April 26, 2012
- 13:40
Regulators aim to improve exempt market compliance
Two new CSA notices provide clear guidance to assist issuers in preparing and filing exempt market documents
- By: James Langton
- April 26, 2012 April 26, 2012
- 10:50
MFDA policy advisory committee announces new members
Paul McKay, Holly Millar, Nick Pallotta and Sylvain Thériault join PAC
- By: James Langton
- April 26, 2012 April 26, 2012
- 10:10
Richvale a “one-man boiler room”, says OSC panel
Richvale and its president defrauded investors of over $750,000
- By: James Langton
- April 26, 2012 April 26, 2012
- 08:20
Appeal court dismisses bid by Norshield managers
Xanthoudakis and Smith had alleged bias in OSC proceedings
- By: James Langton
- April 26, 2012 April 26, 2012
- 07:50
Former frontierAlt CEO settles with OSC
Regulator imposes two-year trading ban on Asif Khan for supervisory failings
- By: James Langton
- April 25, 2012 April 25, 2012
- 16:15
ASC warns of oil and gas investment scheme
Regulator investigating “spoofing” website
- By: IE Staff
- April 25, 2012 April 25, 2012
- 16:00
Ex Canaccord rep fined $20,000
Quebec City rep permitted clients to participate in a private placement of shares in a firm owned by his spouse
- By: IE Staff
- April 25, 2012 April 25, 2012
- 14:45
OSC to consider settlement in registration dispute
Questions about proper registration concerning Daniel Sternberg, Parkwood GP and Philco Consulting were uncovered during a hedge fund sweep in 2009
- By: James Langton
- April 25, 2012 December 14, 2017
- 14:00
Traded life policy investments not suitable for most retail investors, says UK regulator
FSA takes issue with the way TLPIs are designed, marketed and sold
- By: James Langton
- April 25, 2012 April 25, 2012
- 09:15
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
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