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
Latest news in From the Regulators
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
European regulators unveil tougher guidelines for automated trading
ESMA is committed to ensure that technological innovation does not pose a risk to the orderly functioning of the markets
- By: James Langton
- December 22, 2011 December 22, 2011
- 15:40
Ex CIBC broker fined $140,000
Silvaggio admits to misappropriating client funds
- By: IE Staff
- December 22, 2011 December 22, 2011
- 15:05
Decision confirms current regulatory regime working well, provinces say
Alberta finance minister calls on Ontario to sign on to passport system
- By: James Langton
- December 22, 2011 December 22, 2011
- 13:55
Top court rules against national regulator
National securities regulator not constitutionally legal
- By: James Langton
- December 22, 2011 December 22, 2011
- 10:00
New capital rules coming for P&C insurers
OSFI aims to develop rules that are more risk-sensitive
- By: James Langton
- December 21, 2011 December 21, 2011
- 16:55
Richmond man illegally sold shares, BCSC finds
Dyer raised US$863,000 for U.S. company from 83 investors
- By: IE Staff
- December 21, 2011 December 21, 2011
- 16:20
Ottawa proposes updated anti-money laundering rules
Changes likely to affect all financial sector firms
- By: James Langton
- December 21, 2011 December 21, 2011
- 11:55
Aon to pay US$16.3M in bribery case settlement
U.S. insurance brokerage firm has implemented anti-corruption program
- By: James Langton
- December 21, 2011 December 21, 2011
- 10:30
Fed proposes tougher rules for large U.S. banks
Proposals would apply to “systematically important” firms with consolidated assets of US$50 billion or more
- By: James Langton
- December 20, 2011 December 20, 2011
- 16:40
OSC extends comment period for proposed enforcement initiatives
Interest in no contest settlements prompts regulator to hold public hearing in the new year
- By: James Langton
- December 20, 2011 December 20, 2011
- 14:30
Vancouver brokers fined for OTC failings
IIROC panel says Jiwa and Hoffar failed in their role as gatekeepers of the capital markets
- By: IE Staff
- December 20, 2011 December 20, 2011
- 08:00
MFDA to use risk-based methodology in sales compliance exams
A dealer’s examination cycle may change
- By: James Langton
- December 19, 2011 December 19, 2011
- 17:30
OSC imposes sanctions against Phoenix group
Rathore, Petrozza and Maloney to jointly pay penalty of $250,000 for illegal distribution of securities
- By: Megan Harman
- December 19, 2011 December 19, 2011
- 16:00
Supreme Court to rule on national regulator
Top court says it will rule on the issue of a national securities regulator on Thursday
- By: James Langton
- December 19, 2011 December 19, 2011
- 13:50