Pension unlocking scams prompt SFSC warning
Scams often target those who are in financial distress
- By: James Langton
- April 18, 2012 April 18, 2012
- 15:30
Latest news in From the Regulators
Ontario reps fined for forging client signatures
Rotstein and Zackheim agree to 12-month prohibition from registration
- By: IE Staff
- April 18, 2012 April 18, 2012
- 14:35
Ex branch manager fined for supervisory failings
Former Raymond James manager relied on rep
- By: IE Staff
- April 17, 2012 April 17, 2012
- 11:20
UK regulator sees increase in boiler room activity
FSA says the number of people who actually parted with their money has dropped
- By: James Langton
- April 17, 2012 April 17, 2012
- 09:30
FSCO warns of auto insurance card scam
Fraudulent insurance cards appear valid, but have false policy numbers and/or expiry dates, Ontario regulator says
- By: James Langton
- April 16, 2012 April 16, 2012
- 17:30
SEC charges OptionsXpress over naked short selling scheme
The firm, one customer, and four executives are facing allegations
- By: James Langton
- April 16, 2012 April 16, 2012
- 15:00
Global regulators issue new standards for financial market infrastructures
CPSS, IOSCO say principles are designed to strengthen operations and oversight of organizations
- By: James Langton
- April 16, 2012 April 16, 2012
- 10:00
BMO Nesbitt Burns settlement accepted
Investment dealer fined $50,000 for trading error
- By: IE Staff
- April 13, 2012 April 13, 2012
- 15:00
Fund dealers approved to commingle client assets
OSC approves amendments to MFDA rules concerning the segregation of client property
- By: James Langton
- April 13, 2012 April 13, 2012
- 14:30
Funds understating risk in Fund Facts filings: OSC
Fund names not consistent with investment objectives or investment strategies, regulator says
- By: James Langton
- April 13, 2012 April 13, 2012
- 14:00
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
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