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
Latest news in From the Regulators
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
SROs proposed changes to compliance policy
The changes are being put forward in response to the provincial securities regulators’ registration reform rules
- By: James Langton
- February 24, 2012 February 24, 2012
- 15:20
IIROC suspends First Leaside
Investment firm granted bankruptcy protection
- By: IE Staff
- February 24, 2012 February 24, 2012
- 14:35
2011 an active year for OSC enforcement
Ontario regulator ordered a total of $60.4 million in penalties, disgorgement and costs
- By: James Langton
- February 24, 2012 February 24, 2012
- 14:20
FINRA helps investors understand account statements
U.S. securities regulators have issued an investor alert encouraging investors to scrutinize their account statements and trade confirmations.
- By: IE Staff
- February 23, 2012 February 23, 2012
- 17:05
Sask regulator cease trades UFX Bank
SFSC claims off-shore firm defrauded Saskatchewan resident
- By: James Langton
- February 23, 2012 February 23, 2012
- 16:55
MFDA imposes $250,000 fine on fund and insurance salesman
Ex Canfin salesman banned for having personal financial dealings with a client and failing to co-operate with an investigation
- By: IE Staff
- February 23, 2012 February 23, 2012
- 14:15
Ex Edmonton rep fined $10,000 for gatekeeper failings
Trades could have created an artificial price for two TSXV securities
- By: IE Staff
- February 22, 2012 February 22, 2012
- 15:25
Ex BC rep fined $10,000
James Wenman loaned his client money on three separate occasions without the consent of his firm
- By: IE Staff
- February 22, 2012 February 22, 2012
- 14:50
Calgary rep fined $55,000 for KYC failings
CIBC WM rep failed to use due diligence on orders from two clients
- By: IE Staff
- February 22, 2012 February 22, 2012
- 14:15
CSA report highlights 2011 enforcement activity
Fines and administrative penalties of more than $52 million; Illegal distributions remain the biggest source of enforcement activity
- By: James Langton
- February 22, 2012 February 22, 2012
- 13:50
BCSC freezes assets of former financial planner
New freeze orders issued against Arvin Patel’s retirement savings and brokerage accounts
- By: IE Staff
- February 21, 2012 February 21, 2012
- 16:30
AMF issues warning on Nagle & Associates
The company and its two officers are not registered
- By: James Langton
- February 21, 2012 February 21, 2012
- 12:25
IOSCO proposes suitability requirements for complex financial products
New report that proposes investor protection principles
- By: James Langton
- February 21, 2012 February 21, 2012
- 12:15
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
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