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
Latest news in From the Regulators
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
Former CIBC rep requests review of IIROC decision
McErlean faces fines totalling $75,000
- By: Megan Harman
- April 4, 2012 April 4, 2012
- 15:00
Former notary public committed $83M fraud, BCSC alleges
Financial planner Arvin Patel permanently banned for his role in the fraud
- By: IE Staff
- April 4, 2012 April 4, 2012
- 12:20
JPMorgan Chase fined US$20M
CFTC finds that firm unlawfully handled Lehman Brothers’ seg funds
- By: James Langton
- April 4, 2012 April 4, 2012
- 11:55
FSA fines J.P. Morgan executive £450,000
British regulator alleges Hannam disclosed inside information
- By: James Langton
- April 4, 2012 April 4, 2012
- 07:55
Regulators move to strengthen cross-border supervision of financial firms
Senior staff at SEC, OSC agree to meet regularly
- By: James Langton
- April 3, 2012 April 3, 2012
- 15:15
Former Vancouver branch manager fined $50,000
Murdoch failed to adequately supervise a registered rep
- By: Megan Harman
- April 3, 2012 April 3, 2012
- 15:00
Canada progresses on Basel banking reforms
Peer review program will assess whether national rules meet global standards
- By: James Langton
- April 3, 2012 April 3, 2012
- 11:55
Illegal distribution cases dominate NBSC’s enforcement activity
Penalties totalled $1.3 million in 2011, regulator reports
- By: James Langton
- April 3, 2012 April 3, 2012
- 11:35
Presidential election derivatives constitute gambling: CFTC
Regulator prohibits contracts proposed by Nadex
- By: James Langton
- April 3, 2012 April 3, 2012
- 07:45
FSCO issues warning about unlicensed firms
Royal Insurance, American Insurance not licensed in Ontario
- By: James Langton
- April 3, 2012 April 3, 2012
- 07:35
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
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