ASC lays fraud charges
Charges laid in connection with the illegal sale of securities issued by Laxum Capital
- By: IE Staff
- November 30, 2011 November 30, 2011
- 15:30
Latest news in From the Regulators
Swift Trade drops challenge to FSA notice
The Canadian firm is still appealing the decision and fine
- By: James Langton
- November 30, 2011 November 30, 2011
- 14:00
Ex Canaccord rep fined $290,000
Penalties imposed on Phillips include a three year suspension
- By: IE Staff
- November 30, 2011 November 30, 2011
- 11:40
NASAA launches review program for IA registration
Initiative provides investment advisors registering in multiple states with an easier way to navigate the switch to state registration
- By: James Langton
- November 29, 2011 November 29, 2011
- 12:30
Judge rejects SEC settlement with Citigroup in mortgage case
Neither admitting or denying the contents of a regulatory order leaves the court with no basis to judge the merits of the deal
- By: James Langton
- November 28, 2011 November 28, 2011
- 17:30
UK regulator to ban retail ‘death bond’ sales
FSA says traded life policy investments are high risk, toxic products that are generally unsuitable for the majority of retail investors and should not be…
- By: James Langton
- November 28, 2011 November 28, 2011
- 17:20
IIROC, IEF extend support of high school financial literacy program
Funny Money uses humour to connect and capture the attention of high school students
- By: IE Staff
- November 28, 2011 November 28, 2011
- 12:50
Former Quebec premier seeks conditions on TMX takeover
Parizeau says AMF should use veto to ensure Montreal doesn't become a shell for derivatives
- By: Ross Marowits
- November 25, 2011 November 25, 2011
- 14:15
Regulators mull fewer marketing restrictions for offerings
Proposed amendments designed to ease burdens that issuers and dealers face in trying to complete a prospectus offering
- By: James Langton
- November 25, 2011 November 25, 2011
- 13:15
CSA proposes framework to improve the regulation of OTC derivatives
The G20 has emphasized the importance of transparency in these markets and their protection against abuse
- By: James Langton
- November 25, 2011 November 25, 2011
- 12:45
CSA proposes enhancements to scholarship plan disclosure
Proposed prospectus form designed to provide better understanding of the benefits, risks and costs of investing in scholarship plans
- By: James Langton
- November 25, 2011 November 25, 2011
- 12:20
TMX deal ‘makes sense’, Maple tells AMF
Maple and TMX refuse to make new commitments to Montreal in AMF hearing
- By: Sylvain Larocque
- November 24, 2011 November 24, 2011
- 16:20
Tsatskin gets three years in jail for New Gold fraud
Sentencing makes it clear that the courts take these matters seriously, says OSC’s Atkinson
- By: IE Staff
- November 24, 2011 December 14, 2017
- 16:15
Several New Brunswick companies hit with cease-trade order
Priest and Phillips prohibited from becoming or acting as a director or officer
- By: IE Staff
- November 24, 2011 November 24, 2011
- 09:50
Flaherty introduces financial system review legislation
Act enhances the supervisory powers of the Financial Consumer Agency of Canada
- By: IE Staff
- November 23, 2011 November 23, 2011
- 15:10
Regulators stress consumer protection at Advocis symposium
ICBC wants to make it easier for MGAs to report bad agents directly to the regulators
- By: Olivia Glauberzon
- November 23, 2011 November 23, 2011
- 14:35
AMF set to begin Maple TMX hearings
Stakeholders get their say
- By: James Langton
- November 23, 2011 November 23, 2011
- 14:10
Federal Reserve to stress test largest U.S. banks
Review is designed to ensure that U.S. banks are adequately capitalized to weather a worsening economic storm
- By: James Langton
- November 22, 2011 November 22, 2011
- 16:45
Iran sanctions impose new obligations on Canadian financial institutions
OSFI urges firm to be diligent in ensuring they don't violate prohibitions
- By: James Langton
- November 22, 2011 November 22, 2011
- 14:25
OSC dismisses Rankin bid to revoke tipping settlement
Oral disclosure of Duic investigation to Rankin’s legal counsel deemed sufficient
- By: James Langton
- November 22, 2011 November 22, 2011
- 11:40
Canada, U.S., Britain slap more sanctions on Iran
Ottawa moves to block “virtually all” transactions with Iran’s central bank
- By: Mike Blanchfield
- November 22, 2011 November 22, 2011
- 08:00
SEC charges Canadian in alleged Ponzi scheme
New Futures Trading raised over US$1.3 million from investors
- By: James Langton
- November 18, 2011 November 18, 2011
- 16:40
Ex CIBC rep falsified documents: IIROC panel
McErlean misrepresented investment information to clients about their accounts
- By: Megan Harman
- November 18, 2011 November 18, 2011
- 16:10
CSA adopts changes to electronic document delivery policy
Amendments ensure policy remains up to date
- By: James Langton
- November 18, 2011 November 18, 2011
- 13:30
OSC, FINRA sign co-operation agreement
SROs to share information on firms and individuals, and collaborate on investigations and enforcement matters
- By: James Langton
- November 18, 2011 November 18, 2011
- 12:00