B.C. broker violated IIROC rules: panel
Steinhoff made discretionary trades and unsuitable investments
- By: IE Staff
- November 2, 2011 November 2, 2011
- 13:30
Latest news in From the Regulators
Low interest rates prompt review of insurance regulation
Agents and insurers must disclosure how low rates are impacting the products clients buy
- By: Olivia Glauberzon
- November 2, 2011 January 21, 2018
- 12:30
FSA proposes new guidance on structured products
Review finds weaknesses remain in the way firms are designing and approving structured products, increasing the risk to consumers
- By: James Langton
- November 2, 2011 November 2, 2011
- 09:55
OSC Dialogue: Regulator coping with dramatic changes in capital markets
Wetston says the OSC is keeping a close watch on the changes wrought by globalization, technological advancement and product innovation
- By: Megan Harman
- November 1, 2011 November 1, 2011
- 10:30
Hong Kong regulators go online to boost enforcement
Website names people who are being sought in relation to enforcement inquiries but cannot be traced
- By: James Langton
- November 1, 2011 November 1, 2011
- 08:50
Ontario man arrested in alleged Ponzi scheme
Investor losses estimated at $2.3 million
- By: James Langton
- October 31, 2011 October 31, 2011
- 14:35
CSA plans online investment fraud awareness campaign
Campaign will illustrate how scam artists use online ads and social media tools to lure unsuspecting investors in cyberspace
- By: IE Staff
- October 31, 2011 October 31, 2011
- 13:50
BCSC overturns IIROC panel decision
IIROC hearing panel erred in making its findings against Blackmont and Duke
- By: IE Staff
- October 28, 2011 October 28, 2011
- 16:20
Tribunal finds investment club was a fraud
Prosporex Investment Club illegally distributed securities
- By: The Canadian Press
- October 28, 2011 October 28, 2011
- 15:45
MFDA proposes quarterly statements for all accounts
Change would conform with CSA rules and avoid confusion
- By: James Langton
- October 28, 2011 October 28, 2011
- 14:30
OSC sets dates for Maple TMX hearing
Submissions due Nov. 7
- By: James Langton
- October 28, 2011 October 28, 2011
- 13:00
OSC advisory panel wants greater say in policymaking
Investor advisory panel annual report proposes several steps that would expand its advocacy efforts
- By: James Langton
- October 28, 2011 October 28, 2011
- 11:30
Survey shows MFDA members lukewarm on merger with IIROC
Summer survey indicates an improvement in the level of satisfaction with the MFDA
- By: James Langton
- October 27, 2011 October 27, 2011
- 15:30
SEC settles with FINRA on alleged alteration of documents
Self-regulatory organization must undergo review of policies and procedures
- By: James Langton
- October 27, 2011 October 27, 2011
- 11:55
B.C. to publish annual reports on regulatory accountability
Reports will identify regulatory reform goals and objectives, accomplishments
- By: James Langton
- October 27, 2011 October 27, 2011
- 11:30
MSC settles with eight Crocus directors; no monetary penalties
Manitoba regulator says penalties would have been paid out of funds that could still be recovered by investors
- By: James Langton
- October 27, 2011 October 27, 2011
- 09:15
SEC adopts reporting rule for hedge fund advisors
Rule divides private fund advisors into two broad groups by size, and the amount of information they must report and the frequency of reporting
- By: James Langton
- October 26, 2011 October 26, 2011
- 16:20
Ex-Goldman director charged in hedge fund tipping case
Gupta charged with securities fraud
- By: James Langton
- October 26, 2011 October 26, 2011
- 12:30
OSFI revises capital rules for life insurers
The objective of these latest revisions is to adopt more appropriate risk-based guidance in several areas
- By: James Langton
- October 26, 2011 October 26, 2011
- 12:00
TSX lacked jurisdiction in CI shareholder vote, says OSC
The exchange’s jurisdiction is limited to transactions involving the issuance or potential issuance of securities
- By: James Langton
- October 25, 2011 October 25, 2011
- 15:15
FINRA fines UBS Securities US$12 million for failing to supervise short sales
Millions of short sale orders affected
- By: James Langton
- October 25, 2011 October 25, 2011
- 10:45
FSA fines Credit Suisse $9.55 million for poor controls
Systems were not up to the level customers are entitled to expect
- By: James Langton
- October 25, 2011 October 25, 2011
- 09:15
SEC fines dark pool for undisclosed trades
Pipeline agrees to pay $1 million to settle case
- By: James Langton
- October 24, 2011 October 24, 2011
- 13:20
IOSCO looking for new secretary general
Greg Tanzer returning to Australia
- By: James Langton
- October 24, 2011 October 24, 2011
- 13:10