The separation of prudential regulation from conduct regulation means will mean that banks, building societies, insurers and major investment firms will have two groups of…
Company failed to maintain an audit committee and didn’t file financial statements on time
Police investigating fraud allegations against Jennifer Killins in response to investor complaints
The proposed dealer regulation fee model will charge a $250 fee for each registered individual
A new provision has been added to set out the steps a dealer must take in deciding whether to allow a client to trade on…
Alleged episode of rogue trading led to a US$2.3 billion loss
The new circuit breakers will initially apply to all securities included in the S&P/TSX composite index, and ETFs that are comprised principally of listed securities
Brossard, Que. manager failed to supervise transactions by reps
Bond pricing allowed Credit Suisse to achieve fictional profits
Yield-starved investors cautioned to beware of risky or fraudulent investments promising higher yields
FundEX and Investia ordered to implement leverage review action plans
Website features a contest to motivate consumers to answer basic financial questions
Ravi Sinha fined over fake invoices
Comments sought on draft advisory
Notice seeks to clearly define an MGA’s compliance responsibilities
Investors cautioned not to purchase securities
Measures for preventing systemic risk could become an example of co-operative federalism
Kweku Adoboli linked with unauthorized trades
Ontario court dismisses appeal by CI and AIC
New standards are consistent with international regimes
Financial Conduct Authority to replace Financial Services Authority
PM pledges to change elements of the system that are not funded to ensure sustainability
Ontario fund dealer penalized for supervisory failings and poor record keeping