BCSC sanctions lawyer for trading on insider information
Karl Werbes ordered to pay $25,000 penalty
- By: IE Staff
- March 6, 2012 March 6, 2012
- 17:15
Latest news in From the Regulators
CSA campaign confirms investors vulnerable to online fraud
Regulators lured unsuspecting investors using online ads and social media promotions
- By: James Langton
- March 6, 2012 March 6, 2012
- 13:50
AMF issues warning on two FX companies
Markets.com and Bforex Ltd. are not authorized to carry on activities in Quebec
- By: James Langton
- March 5, 2012 March 5, 2012
- 15:10
NBSCs seeks order regarding possible $1.2 million improper distribution
Motion filed requesting a temporary cease-trade order against Richard Scott for potential violations
- By: James Langton
- March 4, 2012 March 4, 2012
- 14:00
FundSERV seeks recognition as a clearing agency
OSC calls for comments on application and draft order
- By: James Langton
- March 2, 2012 March 2, 2012
- 16:20
Rule requiring quarterly account statements from fund dealers approved
Amendments harmonize delivery requirements
- By: James Langton
- March 2, 2012 March 2, 2012
- 15:50
AMF launches consumer awareness campaign
Five key questions to help avoid financial ruin
- By: IE Staff
- March 2, 2012 March 2, 2012
- 15:00
Ex Global Maxfin branch manager fined $20,000
Anu Jain permanently banned from acting as a supervisor for facilitating stealth advising by an unregistered person
- By: IE Staff
- March 2, 2012 March 2, 2012
- 14:00
CSA, IIROC seek input on trade transparency
Regulators mulling options for enhancing the disclosure of short sales, and introducing some public disclosure of failed trades
- By: James Langton
- March 2, 2012 March 2, 2012
- 11:30
Older Canadians vulnerable to investment fraud: report
BCSC investment fraud vulnerability report finds that many older Canadians don’t understand the trade-off between risk and return
- By: James Langton
- March 1, 2012 March 1, 2012
- 17:00
AMF levied $5.6 million in fines in 2011
Illegal distributions account for much the charges and investigations
- By: James Langton
- March 1, 2012 March 1, 2012
- 14:00
MFDA calls for nominations to regional councils
Deadline for submissions is March 30
- By: James Langton
- March 1, 2012 March 1, 2012
- 10:00
Banks cautioned on cloud computing
OSFI reminds firms to consider associated risks
- By: James Langton
- February 29, 2012 February 29, 2012
- 17:00
IOSCO issues recommendations on OTC derivative mandatory clearing
17 recommendations are targeted at authorities developing a mandatory clearing requirement as required by G20
- By: James Langton
- February 29, 2012 February 29, 2012
- 15:10
UK panel calls on regulators to impose fiduciary duty
Panel says it’s not reasonable to expect consumers to understand complex financial products and associated risks
- By: James Langton
- February 29, 2012 February 29, 2012
- 12:35
OSC unveils new strategic plan
Office of the Investor to engage investors more effectively
- By: James Langton
- February 29, 2012 February 29, 2012
- 12:15
NSSC assessed more than $2 million in fines in 2011
65 complaints investigated
- By: IE Staff
- February 29, 2012 February 29, 2012
- 10:50
OSFI updates guidelines for liquidity risk management
Revisions aim to bring OSFI guidelines into line with reforms adopted by Basel Committee
- By: James Langton
- February 28, 2012 February 28, 2012
- 16:55
SEC proposes rules to prevent identity theft
Proposal would require firms to create programs to spot the signs of identity theft
- By: James Langton
- February 28, 2012 February 28, 2012
- 14:40
Ex Quebec rep fined $40,000 for rule violations
Former Peak Securities rep had undisclosed financial arrangements with clients
- By: IE Staff
- February 28, 2012 February 28, 2012
- 13:50
NBSC launches finance program for women
Resources will help women better understand and take control of their personal finances
- By: James Langton
- February 28, 2012 February 28, 2012
- 12:25
BCSC alleges ex Colstar CEO manipulated markets
Regulator contends that Damien Reynolds used his mother’s brokerage account to create an artificially low price in his company’s shares
- By: IE Staff
- February 28, 2012 February 28, 2012
- 10:00
SEC issues unauthorized trading alert
Independent and mutually reinforcing controls help mitigate risk
- By: James Langton
- February 27, 2012 February 27, 2012
- 17:00
AMF reviewing online distribution of insurance
13 proposals deal with advertising, disclosure and social media
- By: James Langton
- February 27, 2012 February 27, 2012
- 08:00