Response to MSC investor education campaign “overwhelmingly positive”
Campaign's visual components attract attention
- By: James Langton
- March 26, 2012 March 26, 2012
- 15:00
Latest news in From the Regulators
Equity return models that use mean reversion not allowed: OSFI
Regulator explains rationale behind its decision not to allow insurance firms to use internal models that incorporate mean reversion in equity returns
- By: James Langton
- March 26, 2012 March 26, 2012
- 14:00
Toronto police charge fund salesman with fraud
Wilton Neale faces 11 charges in fraud investigation
- By: James Langton
- March 26, 2012 March 26, 2012
- 13:55
IIROC implements Client Relationship Model rules
Some of the new requirements take effect immediately, while others will be phased in over the next two years
- By: James Langton
- March 26, 2012 March 26, 2012
- 13:20
Ontario regulators’ compensation grows
The number of OSC employees earning more than $100,000 has increased
- By: James Langton
- March 26, 2012 March 26, 2012
- 10:00
Ex TD Waterhouse rep fined $40,000 for forging letter to client
Letter misrepresented an investment product recommended to the client
- By: IE Staff
- March 23, 2012 March 23, 2012
- 14:30
IIROC to consolidate rulebook
Proposals aim to streamline enforcement between market and dealer member matters
- By: James Langton
- March 23, 2012 March 23, 2012
- 11:40
CSA lays groundwork for regulating dark trading
Framework would allow regulators to impose size requirement on dark orders
- By: James Langton
- March 23, 2012 March 23, 2012
- 08:30
OSC bans pair for sale of unregistered bonds
Chau and Tulsiani sanctioned for scheme that raised over $4 million
- By: IE Staff
- March 22, 2012 March 22, 2012
- 16:40
ESMA launches consultation on proxy advisors
Discussion paper examines the development of the proxy advisory industry in Europe
- By: James Langton
- March 22, 2012 March 22, 2012
- 16:30
BCSC releases reasons for Arvin Patel freeze order decision
Regulator froze retirement and brokerage accounts to preserve assets for future regulatory and common law claims
- By: IE Staff
- March 22, 2012 March 22, 2012
- 14:20
UK regulator prepares for split
In advance of 2013, FSA says it will adopt a two-pronged model internally, one focusing on prudential matters and one focusing on conduct
- By: James Langton
- March 22, 2012 March 22, 2012
- 08:30
Regulators warn of “recovery room” scam
Scheme targeting Medwell Capital shareholders
- By: James Langton
- March 21, 2012 March 21, 2012
- 16:00
MSC calls on investors to help stop fraud
Manitoba regulator strongly encourages investors to report any suspicion of investment fraud
- By: James Langton
- March 21, 2012 March 21, 2012
- 13:00
OSC drops allegations against dead man
William Rouse was accused of working for boiler room brokerage firm Maitland Capital Ltd.
- By: James Langton
- March 21, 2012 March 21, 2012
- 11:30
UK regulator wins land banking case
FSA wins £32 million battle against land banks
- By: James Langton
- March 21, 2012 March 21, 2012
- 09:00
Maple TMX deal facing “extensive” OSC conditions, says Jensen
Terms and conditions will deal with governance, conflicts of interest, fair access and fees
- By: James Langton
- March 20, 2012 March 20, 2012
- 16:10
FSB forms task force to improve banks’ risk disclosure
Task force involving investors, financial institutions, and auditors, will be asked to develop principles for improved disclosure
- By: James Langton
- March 20, 2012 March 20, 2012
- 15:30
Aspiring portfolio manager fined $30,000
Former BMO Nesbitt Burns rep acted as a portfolio manager without registration
- By: IE Staff
- March 20, 2012 March 20, 2012
- 15:00
OSC aims to improve compliance for emerging market issuers
Review outlines concerns with disclosure, governance, listing and auditing
- By: James Langton
- March 20, 2012 March 20, 2012
- 10:30
NBSC sets hearing date for alleged boiler rooms
Regulator to consider allegations against three U.S. companies and one Toronto-based firm
- By: James Langton
- March 20, 2012 March 20, 2012
- 08:40
OSFI releases draft guidelines for home mortgage underwriting
Banking regulator recommends a board-approved underwriting policy to help manage risk
- By: The Canadian Press
- March 19, 2012 March 19, 2012
- 19:25
Ex HSBC Securities rep fined $50,000
Toronto rep failed to to give priority to other client orders in a bond offering
- By: IE Staff
- March 19, 2012 March 19, 2012
- 17:00
Couple’s MDS trades “contrary to the public interest”
OSC rules man improperly tipped his wife about proposed takeover
- By: James Langton
- March 19, 2012 March 19, 2012
- 16:15
FINRA fines Citigroup, orders repayment for excessive charges on bond trades
SEC issues investor bulletin to help educate investors about municipal bonds
- By: James Langton
- March 19, 2012 March 19, 2012
- 15:35