IOSCO proposes principles for regulating ETFs
Proposals deal with classification and disclosure, marketing and sales, and the structuring of ETFs
- By: James Langton
- March 14, 2012 March 14, 2012
- 11:20
Latest news in From the Regulators
Court approves plan to return $60 million to ABCP investors
Distribution details will be announced “in the near future”, regulators say
- By: James Langton
- March 13, 2012 March 13, 2012
- 13:00
ASC alleges market manipulation by Calgary man
Magellan Minerals trades to be examined in April hearing
- By: James Langton
- March 13, 2012 March 13, 2012
- 10:50
IIROC panel bans and fines ex BMO Nesbitt rep
Montrealr rep fined $150,000 for contravening IDA rules
- By: IE Staff
- March 13, 2012 March 13, 2012
- 10:20
Suitability one of the top risks for retail investors: FSA
One of the major risks faced by consumers trying to save more is buying and being sold unsuitable products
- By: James Langton
- March 13, 2012 March 13, 2012
- 10:00
UK exec fined for disclosing client information
Credit Suisse sales exec signaled confidential information to a fund manager
- By: James Langton
- March 13, 2012 March 13, 2012
- 09:10
FINRA fines up 51% in 2011: report
The US$68 million in fines is still well below 2005’s record US$184 million
- By: James Langton
- March 12, 2012 March 12, 2012
- 13:20
OSC requests new members for Small and Medium Enterprises Committee
Members will advise OSC staff on issues specific to small firms
- By: James Langton
- March 12, 2012 March 12, 2012
- 11:00
Policymakers continue to examine incorporation
Ministers remain committed to on-going reform of Canada's securities regulatory system
- By: James Langton
- March 9, 2012 March 9, 2012
- 17:10
Ex Montreal rep fined for misappropriating client funds
Chher diverted $60,000 from his mother to use for his own personal investments
- By: IE Staff
- March 9, 2012 March 9, 2012
- 17:00
OSC orders early release of evidence in alleged Ponzi case
Peter Sbaraglia hearing scheduled to start in June
- By: James Langton
- March 8, 2012 March 8, 2012
- 13:35
AMF warns investors about fraudsters using social media
Investors reminded to exercise caution about suspicious solicitations
- By: James Langton
- March 7, 2012 March 7, 2012
- 16:30
ASC fines and bans woman, companies for fraud
Panel finds Jeanette Couch misled investors, perpetrated fraud; $750,000 penalty imposed
- By: IE Staff
- March 7, 2012 March 7, 2012
- 14:00
Deeb notice of hearing to stay on IIROC website
Hearing panel denies bid by Hampton Securities chairman to remove notice
- By: James Langton
- March 7, 2012 March 7, 2012
- 12:30
BCSC sanctions lawyer for trading on insider information
Karl Werbes ordered to pay $25,000 penalty
- By: IE Staff
- March 6, 2012 March 6, 2012
- 17:15
CSA campaign confirms investors vulnerable to online fraud
Regulators lured unsuspecting investors using online ads and social media promotions
- By: James Langton
- March 6, 2012 March 6, 2012
- 13:50
AMF issues warning on two FX companies
Markets.com and Bforex Ltd. are not authorized to carry on activities in Quebec
- By: James Langton
- March 5, 2012 March 5, 2012
- 15:10
NBSCs seeks order regarding possible $1.2 million improper distribution
Motion filed requesting a temporary cease-trade order against Richard Scott for potential violations
- By: James Langton
- March 4, 2012 March 4, 2012
- 14:00
FundSERV seeks recognition as a clearing agency
OSC calls for comments on application and draft order
- By: James Langton
- March 2, 2012 March 2, 2012
- 16:20
Rule requiring quarterly account statements from fund dealers approved
Amendments harmonize delivery requirements
- By: James Langton
- March 2, 2012 March 2, 2012
- 15:50
AMF launches consumer awareness campaign
Five key questions to help avoid financial ruin
- By: IE Staff
- March 2, 2012 March 2, 2012
- 15:00
Ex Global Maxfin branch manager fined $20,000
Anu Jain permanently banned from acting as a supervisor for facilitating stealth advising by an unregistered person
- By: IE Staff
- March 2, 2012 March 2, 2012
- 14:00
CSA, IIROC seek input on trade transparency
Regulators mulling options for enhancing the disclosure of short sales, and introducing some public disclosure of failed trades
- By: James Langton
- March 2, 2012 March 2, 2012
- 11:30
Older Canadians vulnerable to investment fraud: report
BCSC investment fraud vulnerability report finds that many older Canadians don’t understand the trade-off between risk and return
- By: James Langton
- March 1, 2012 March 1, 2012
- 17:00