Nortel execs falsified financial statements, court hears
Fraud trial is expected to last more than six months
- By: Sunny Freeman
- January 16, 2012 January 16, 2012
- 18:00
Latest news in From the Regulators
Waterloo rep fined $50,000 for suitability violations
IIROC panel says rep recommended a structured product without fully understanding it
- By: Megan Harman
- January 16, 2012 January 16, 2012
- 16:30
Vancouver broker fined $22,500
Leede Financial rep guaranteed a client account and placed discretionary trades
- By: IE Staff
- January 16, 2012 January 16, 2012
- 15:40
OSC seeks input on CSA review of exempt market
Three sessions scheduled for February
- By: James Langton
- January 16, 2012 January 16, 2012
- 11:40
Joint Forum chooses new leader
Therese Vaughan, CEO of the U.S. National Association of Insurance Commissioners, appointed to two-year term
- By: James Langton
- January 13, 2012 January 13, 2012
- 10:00
More action needed on conflicts faced by equity analysts: report
A U.S. government report says regulators could improve their oversight of analyst conflicts of interest
- By: James Langton
- January 12, 2012 January 12, 2012
- 16:25
ASC orders $5.6 million in penalties for Concrete Equities executives
Illegal distribution of securities raised $110 million
- By: IE Staff
- January 11, 2012 January 11, 2012
- 12:15
CFTC unveils its version of Volcker rule
U.S. regulator proposes limits on proprietary trading and investments in private equity and hedge funds
- By: James Langton
- January 11, 2012 January 11, 2012
- 10:30
Regina rep facing $100,000 fine
IIROC panel imposes one-year ban
- By: IE Staff
- January 10, 2012 January 10, 2012
- 15:40
IIROC proposes generic marketplace disclosure on trade confirmations
Implementation of the current form of disclosure on trade confirmations has presented ongoing challenges for some firms
- By: James Langton
- January 10, 2012 January 10, 2012
- 15:00
Major risks remain from European crisis, says FSB
Financial Stability Board says it supports the policy measures that have been taken so far to address the crisis
- By: James Langton
- January 10, 2012 January 10, 2012
- 14:30
OSC alleges illegal insider trading, tipping in sale of junior mining firm
Regulator alleges consultant to Baffinland Iron Mines tipped friend on details of negotiations with ArcelorMittal
- By: James Langton
- January 9, 2012 January 9, 2012
- 17:20
IIROC issues final guidance on trade price guarantees
When agreeing to guarantee the price of a trade to a client, firms must provide written notice to IIROC
- By: James Langton
- January 9, 2012 January 9, 2012
- 16:15
Basel Committee upholds timeline for imposing liquidity rules
Liquidity coverage ratio on banks to be introduced as a minimum standard in 2015
- By: James Langton
- January 9, 2012 January 9, 2012
- 09:40
OSFI lobbies U.S. on Volcker Rule
The proposed restrictions could hinder the risk management practices of foreign banks, and hurt the liquidity of certain markets
- By: James Langton
- January 6, 2012 January 6, 2012
- 16:15
Calgary pair fined for private placement violations
IIROC panel finds two Canaccord Genuity reps solicited investments in a private placement without the knowledge of their firm
- By: IE Staff
- January 6, 2012 January 6, 2012
- 16:00
IIROC publishes more rules in plain language
Proposed rules relate to rule interpretation and principles of conduct
- By: James Langton
- January 6, 2012 January 6, 2012
- 13:30
SEC charges advisor in social media scam
U.S. regulator issues warnings on social media
- By: James Langton
- January 4, 2012 January 4, 2012
- 14:20
BCSC bans former fund salesman for fraud
Basi fined $100,000
- By: James Langton
- January 3, 2012 January 3, 2012
- 10:20
Ex Octagon rep fined $125,000
Harding suspended for making unauthorized purchases and recommending unsuitable transactions
- By: IE Staff
- January 3, 2012 January 3, 2012
- 10:10
OSC explains Coventree sanctions
An OSC panel imposed only $250,000 in costs, far less than the $1.5 million commission staff sought
- By: James Langton
- December 23, 2011 December 23, 2011
- 15:20
OSC FINRA information sharing agreement approved
The agreement is intended to bolster market oversight by helping the regulators share information
- By: James Langton
- December 23, 2011 December 23, 2011
- 13:20
Rice surprised by Supreme Court decision
The question now is where regulation goes from here
- By: James Langton
- December 22, 2011 December 22, 2011
- 18:00
BCSC panel finds pair illegally traded and distributed securities
Scammell and de Beer raised funds from investors in five provinces and one state
- By: IE Staff
- December 22, 2011 December 22, 2011
- 16:10