B.C. man fined $1.5 million for illegal insider trading
Hu made misleading statements to BCSC investigators
- By: James Langton
- November 15, 2011 November 15, 2011
- 12:00
Latest news in From the Regulators
Copycat website designed to dupe investors: NASAA
Requests to submit personal account information and money are red flags of investment fraud
- By: James Langton
- November 14, 2011 November 14, 2011
- 16:45
Members wanted for OSC policy committee
The regulator is looking for three prospective candidates to serve on the securities advisory committee
- By: James Langton
- November 11, 2011 November 11, 2011
- 13:00
Sale of Maple Leaf bonds breached Securities Act: OSC
A sanctions hearing is pending
- By: IE Staff
- November 11, 2011 November 11, 2011
- 09:00
OSC referred Sino Forest fraud allegations to RCMP
Allegations of fraud against the Toronto-listed company will face significant hurdles, experts say
- By: Craig Wong, The Canadian Press
- November 11, 2011 November 11, 2011
- 00:15
IIROC fines Penson Canada $225,000 for poor controls
Firm failed to ensure employees understood their responsibilities to conduct certain reviews.
- By: IE Staff
- November 10, 2011 November 10, 2011
- 16:10
CSA to review exempt market
Regulators to consult with stakeholder to ensure exemptions strike the right balance between investor protection and efficient capital raising
- By: James Langton
- November 10, 2011 November 10, 2011
- 12:15
IIROC sanctions Global Securities manager for supervisory failings
Garrod agrees to $70,000 penalty
- By: IE Staff
- November 10, 2011 November 10, 2011
- 11:20
OSC extends trading ban Zungui Haixi
Ban extended after no one from the Chinese shoe manufacturer appeared before the OSC to oppose the order
- By: The Canadian Press
- November 9, 2011 November 9, 2011
- 16:10
SEC files record number of enforcements
U.S. regulator ordered more than US$2.8 billion in penalties and disgorgement in its latest fiscal year
- By: James Langton
- November 9, 2011 November 9, 2011
- 16:00
Coventree penalties total $2.25 million
OSC fines firm, two execs for ABCP disclosure failings
- By: James Langton
- November 9, 2011 November 9, 2011
- 14:45
Rajaratnam ordered to pay US$92.8 million SEC fine
Hedge fund manager slapped with record fine for illegal insider trading
- By: James Langton
- November 9, 2011 November 9, 2011
- 10:45
IIROC, CIPF obtain bankruptcy order for MF Global Canada
KMPG appointed trustee in bankruptcy
- By: James Langton
- November 9, 2011 November 9, 2011
- 08:25
Insurers will be challenged to maintain margins, Dickson says
Low interest rates and higher market volatility mean future returns may differ greatly from today’s pricing assumptions
- By: James Langton
- November 8, 2011 November 8, 2011
- 15:25
OSC accuses Zungui execs of not co-operating with investigation
Hearing scheduled for Nov. 23
- By: The Canadian Press
- November 8, 2011 November 8, 2011
- 11:05
OSC to examine investment fund portfolio disclosure
The review is intended to examine how closely a fund’s stated investment objectives and strategies are implemented over time
- By: James Langton
- November 7, 2011 November 7, 2011
- 13:45
Feds move to strengthen anti-money laundering regulations
Proposed changes would increase compliance with Financial Action Task Force standards
- By: James Langton
- November 7, 2011 November 7, 2011
- 12:10
MFDA aims to reduce governance restrictions
Proposed measures would make it easier to find public directors, and boost the number of industry directors on the audit committee
- By: James Langton
- November 7, 2011 November 7, 2011
- 09:50
Montreal broker fined $50,000 for trading violations
IIROC panel says Canaccord rep engaged in unauthorized trades to generate commissions
- By: IE Staff
- November 4, 2011 November 4, 2011
- 14:00
Canadian banks not ‘systemically important’
Financial Stability Board releases its initial list of 29 global systemically important financial institutions
- By: James Langton
- November 4, 2011 November 4, 2011
- 11:45
Canada signs updated agreement to combat tax evasion
Agreement makes the Convention on Mutual Administrative Assistance in Tax Matters a more efficient tool in combating international tax evasion
- By: IE Staff
- November 4, 2011 November 4, 2011
- 10:50
Charges laid in alleged Disability Tax Credit fraud
CRA alleges that directors of a business were working with a medical practitioner to generate DTC certificates containing false or deceptive statements
- By: James Langton
- November 4, 2011 November 4, 2011
- 08:30
Court dismisses appeals of Norshield rulings
No evidence that Xanthoudakis and Smith were denied a fair hearing by OSC panel
- By: IE Staff
- November 3, 2011 November 3, 2011
- 13:20
IIROC to focus on complaint handling: report
Latest round of compliance exams to focus on client complaint handling rule
- By: James Langton
- November 3, 2011 November 3, 2011
- 09:15
New principles aimed at strengthening mortgage underwriting
OSFI issues alert on proposed FSB mortgage underwriting principles
- By: James Langton
- November 3, 2011 November 3, 2011
- 09:00