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
Latest news in From the Regulators
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
TMX to migrate to IIROC surveillance platform
IIROC will now provide all monitoring services to equity marketplaces in Canada using one platform, STEP
- By: IE Staff
- March 19, 2012 March 19, 2012
- 14:50
Ex Thunder Bay rep fined $20,000
IIROC panel finds former Wellington West rep failed to ensure his recommendations were suitable for his clients
- By: IE Staff
- March 19, 2012 March 19, 2012
- 11:30
BCSC tightens exempt market rules
Regulator adding two new conditions to its rules regarding registration exemptions
- By: James Langton
- March 19, 2012 March 19, 2012
- 09:50
BCSC panel finds that B.C. man committed fraud
Canada Pacific Consulting targeted German and Swiss investors
- By: IE Staff
- March 16, 2012 March 16, 2012
- 14:40
Nova Scotia fund salesman fined for falsifying client signatures
Six-month prohibition from conducting securities related business for Jade Mason
- By: IE Staff
- March 16, 2012 March 16, 2012
- 12:30
ASC fines insurance agent $60,000
Agent’s brokerage account was used for illegal insider trading of Eveready Inc. shares
- By: IE Staff
- March 16, 2012 March 16, 2012
- 11:25
B.C. rep fined $30,000 for trading violations
Buy orders could have created an artificial sale price
- By: IE Staff
- March 16, 2012 March 16, 2012
- 10:20
Regulators must rein in shadow banking, says FSA chairman
Financial Stability Board determined to deal with shadow banking issues
- By: James Langton
- March 14, 2012 March 14, 2012
- 15:40
Pope & Co. fined $30,000 for trading violations
Firm failed to comply with best price obligations
- By: IE Staff
- March 14, 2012 March 14, 2012
- 15:00
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
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