ASC denies registration of Harrington Capital, Blaine Kennedy
Kennedy unsuitable as a registrant, executive director concludes
- By: IE Staff
- February 17, 2012 February 17, 2012
- 16:40
Latest news in From the Regulators
NBSC urges caution when borrowing to invest
Investors should fully understand what they are investing in
- By: James Langton
- February 17, 2012 February 17, 2012
- 11:40
IIROC wins bid to stop judicial review
Hampton Securities’ application for review is premature; SRO’s authority derived from contractual powers
- By: James Langton
- February 16, 2012 February 16, 2012
- 17:15
IOSCO seeks comment on revised valuation principles for investment funds
Many complex and hard-to-value securities, such as structured products, are now available to funds
- By: James Langton
- February 16, 2012 February 16, 2012
- 16:20
OSC, IIROC seek court approval to distribute ABCP fine proceeds
Regulators have asked the court to rule than an earlier order does not prevent them from distributing $59.875 million received from five investment dealers
- By: James Langton
- February 16, 2012 February 16, 2012
- 11:00
FSA fines ex-Merrill Lynch managing director in Greenlight case
Andrew Osborne fined £350,000 for disclosing inside information
- By: James Langton
- February 16, 2012 February 16, 2012
- 10:00
CSA mulls changes to Fund Facts
Proposed changes, including changes to risk disclosure, will be published for comment in the spring or summer
- By: James Langton
- February 14, 2012 February 14, 2012
- 17:10
BCSC investigating two regarding investment scheme
Investors warned not to send money to Rashida Samji and Arvin Patel
- By: IE Staff
- February 14, 2012 February 14, 2012
- 14:00
IIROC fines Montreal duo $350,000
Ex RBC DS reps engaged in outside business activities without disclosure and authorization
- By: IE Staff
- February 13, 2012 February 13, 2012
- 16:00
IOSCO appoints new secretary general
David Wright expected to take up his position in March
- By: James Langton
- February 13, 2012 February 13, 2012
- 10:40
Flaherty expresses concern about proposed Volcker Rule
U.S. rule could adversely affect Canadian financial institutions, conflict with regulation
- By: James Langton
- February 13, 2012 February 13, 2012
- 10:15
Canada Australia regulatory co-operation arrangement signed
Arrangement with AMF, OSC, ASC and BCSC to assist the supervision of companies that operate in Canada and Australia
- By: James Langton
- February 10, 2012 February 10, 2012
- 09:20
U.S. moves to address banks’ FATCA concerns
Intergovernmental approach to implementation shows that the U.S. government is listening, IIAC says
- By: Rudy Mezzetta
- February 9, 2012 February 9, 2012
- 14:00
US Fed fines banks US$766.5 million
Sanctions levied in mortgage settlement
- By: James Langton
- February 9, 2012 February 9, 2012
- 13:30
Regulators modernize rules for mutual funds
Amendments will ease access to market for ETFs, allow mutual funds to short sell up to 20% of NAV
- By: James Langton
- February 9, 2012 February 9, 2012
- 11:55
NBSC alerts investors about email hack attacks
Regulator outlines tell-tale signs of hacked accounts
- By: James Langton
- February 8, 2012 February 8, 2012
- 13:00
OSC lays charges in insider tipping and trading scheme
Regulator alleges GMP executive assistant was “central figure” in million dollar scheme
- By: James Langton
- February 7, 2012 February 7, 2012
- 16:30
Quebec City rep violated rules: IIROC panel
Rail obstructed IDA investigation, failed to use due diligence
- By: IE Staff
- February 7, 2012 February 7, 2012
- 14:35
Manitoba investors warned about possible advanced fee scheme
Goldman and Lyle Consulting Group is soliciting shareholders using false address and phone numbers, MSC says
- By: James Langton
- February 7, 2012 February 7, 2012
- 11:00
ASC says Azteca Gold CEO mislead investors
Regulators say Matthew Russell issued misleading statements about the company’s Two Mile project in Idaho
- By: The Canadian Press
- February 7, 2012 February 7, 2012
- 08:15
UK regulator to adopt “twin peaks” model
The separation of prudential regulation from conduct regulation means will mean that banks, building societies, insurers and major investment firms will have two groups of…
- By: James Langton
- February 6, 2012 February 6, 2012
- 11:10
Zungui Haixi, CEO and chairman broke securities laws: OSC panel
Company failed to maintain an audit committee and didn’t file financial statements on time
- By: The Canadian Press
- February 3, 2012 February 3, 2012
- 16:20
MFDA fines, bans advisor
Police investigating fraud allegations against Jennifer Killins in response to investor complaints
- By: Olivia Glauberzon
- February 3, 2012 February 3, 2012
- 15:40
Regulators approve IIROC integrated fee model
The proposed dealer regulation fee model will charge a $250 fee for each registered individual
- February 3, 2012 February 3, 2012
- 15:00