SEC settlement values soar in 2011
The biggest settlement reached during the year was for US$310 million with two Alberta men
- By: James Langton
- January 23, 2012 January 23, 2012
- 14:40
Latest news in From the Regulators
Hedge fund agrees to settle SEC insider trading charges
Diamondback agrees to pay US$9 million
- By: James Langton
- January 23, 2012 January 23, 2012
- 12:30
Monarch Wealth fined $60,000
Dealer failed to supervise leveraged trades, MFDA says
- By: Megan Harman
- January 20, 2012 January 20, 2012
- 17:00
Montreal broker suspended for unauthorized trading
Ex Canaccord rep fined $30,000
- By: IE Staff
- January 20, 2012 January 20, 2012
- 16:20
AMF allows more time for consumer compensation submissions
Comment period extended until March 9
- By: James Langton
- January 20, 2012 January 20, 2012
- 15:00
IIROC proposes changes to futures margin requirements
Proposed technical amendments aim to clarify that the requirements cover both commodities and financial futures
- By: James Langton
- January 20, 2012 January 20, 2012
- 12:20
Australian regulator warns of online security breaches
ASIC working to identify the source of the intrusions
- By: James Langton
- January 20, 2012 January 20, 2012
- 10:30
Toronto broker fined $5 million
Ex RBC DS rep Henry Cole misappropriated client funds, created false documents
- By: IE Staff
- January 20, 2012 January 20, 2012
- 08:45
Global regulators issue guidelines for suspending fund redemptions
IOSCO publishes final report regarding the suspension of redemptions by collective investment schemes
- By: James Langton
- January 19, 2012 January 19, 2012
- 12:55
Hedge fund managers charged in U.S. insider trading case
Alleged scheme involved tech companies Dell and Nvidia
- By: James Langton
- January 19, 2012 January 19, 2012
- 07:30
SEC to study financial literacy
Regulator seeks input on investor disclosure issues
- By: James Langton
- January 18, 2012 January 18, 2012
- 14:50
Citigroup fined for alleged analyst research violations
FINRA sanctions firm for failing to make conflict of interest disclosures
- By: James Langton
- January 18, 2012 January 18, 2012
- 14:00
OSC falls far short on collecting penalties
Regulator has collected only $110.5 million of the almost $229 million in sanctions and costs levied
- By: James Langton
- January 18, 2012 January 18, 2012
- 12:20
London rep fined $25,000 for forging client signatures
Registration suspended for six months
- By: IE Staff
- January 18, 2012 January 18, 2012
- 11:30
Global policymakers release final report on OTC derivatives data collection
Collecting data centrally would provide regulators and the public with better and more timely information on OTC derivatives
- By: James Langton
- January 17, 2012 January 17, 2012
- 11:00
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
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