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
Latest news in From the Regulators
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
CSA releases list of top investment scams
Common traps include misleading exempt market securities, energy investments
- October 24, 2011 October 24, 2011
- 11:00
Enforcement actions by state securities regulators surges: NASAA
2010 enforcement actions resulted in US$14.1 billion ordered returned to investors
- By: James Langton
- October 24, 2011 October 24, 2011
- 09:40
OSC moves to strengthen enforcement
Enhancements expected to improve information coming for the OSC and expedite the resolution of enforcement matters
- By: James Langton
- October 21, 2011 October 21, 2011
- 09:55
AMF sets dates for Maple TMX acquisition hearing
Two days of hearings scheduled for November
- By: James Langton
- October 21, 2011 October 21, 2011
- 08:20
MFDA to suspend performance reporting requirements
Delay would allow MFDA to harmonize with similar rules being proposed by the CSA
- By: James Langton
- October 20, 2011 October 20, 2011
- 15:35
NSSC issues sanctions in Jabez scheme
Sponagle, Hill fined $500,000 each
- By: IE Staff
- October 20, 2011 October 20, 2011
- 14:20
OSC to review IIROC panel decision
Panel found TD Securities didn’t fail in its supervisory duties, even though its employees were found to have repeatedly breached trading rules
- By: James Langton
- October 20, 2011 October 20, 2011
- 13:30
Regulators to keep close eye on high frequency trading
IOSCO report sets out guidance on regulatory issues raised by technological innovation
- By: James Langton
- October 20, 2011 October 20, 2011
- 11:00
IIROC AdvisorReports passes 60,000 mark in first year of use
Online service allows investors to check the background of more than 22,000 investment advisors
- By: IE Staff
- October 19, 2011 October 19, 2011
- 13:10
Regina broker made unsuitable recommendations: IIROC panel
Gareau to face penalty hearing
- By: IE Staff
- October 19, 2011 October 19, 2011
- 11:00
FINRA launches new securitized product tables
Tables will provide investors with insight into asset and mortgage-backed securities transaction data
- By: James Langton
- October 18, 2011 October 18, 2011
- 11:00
Basel Committee issues update on Basel III implementation
Report ranks each country’s progress
- By: James Langton
- October 18, 2011 October 18, 2011
- 09:30
Fed approves ‘living will’ rule for big US banks
Plans will set out bank’s strategy for rapid and orderly resolution in bankruptcy during times of financial distress
- By: James Langton
- October 17, 2011 October 17, 2011
- 16:15
Fund dealer fined $10,000
M. Hershberg Capital Ltd. has ceased operations
- By: IE Staff
- October 17, 2011 October 17, 2011
- 15:30
Berkshire Securities sanctioned for failing to supervise rep
Former IDA firm ordered to pay $130,000 penalty
- By: IE Staff
- October 17, 2011 October 17, 2011
- 15:05
Improving enforcement a key priority, regulators say
Provincial regulators are bringing more cases to criminal courts and seeking harsher sentences
- By: Megan Harman
- October 14, 2011 October 14, 2011
- 19:30
FSA and SEC host roundtable discussion on market structures
Extensive discussions on all aspects of high-frequency trading
- By: James Langton
- October 14, 2011 October 14, 2011
- 15:00
Drabinsky bid for bail denied
Livent co-founder seeks appeal with Supreme Court
- By: James Langton
- October 14, 2011 October 14, 2011
- 05:50
OSC denies Wi LAN bid to cancel Mosaid poison pill
Mosaid’s shareholder rights plan can stay in effect until Nov. 1
- By: The Canadian Press
- October 13, 2011 October 13, 2011
- 14:35
Basel Committee picks Australian as secretary general
Wayne Byres replaces Stefan Walter
- By: James Langton
- October 13, 2011 October 13, 2011
- 11:25