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
ICBC wants to make it easier for MGAs to report bad agents directly to the regulators
Stakeholders get their say
Review is designed to ensure that U.S. banks are adequately capitalized to weather a worsening economic storm
OSFI urges firm to be diligent in ensuring they don't violate prohibitions
Oral disclosure of Duic investigation to Rankin’s legal counsel deemed sufficient
Ottawa moves to block “virtually all” transactions with Iran’s central bank
New Futures Trading raised over US$1.3 million from investors
McErlean misrepresented investment information to clients about their accounts
Amendments ensure policy remains up to date
SROs to share information on firms and individuals, and collaborate on investigations and enforcement matters
Regulator failed to provide reasons for its order
Da Silva and O’Brien each sentenced to 27 months
Firm to pay US$3.3 million to settle charges
New guidelines from CAPSA deal with prudent investment practices and pension funding
Hefford obtained blank, pre-signed forms for 65 clients
Hu made misleading statements to BCSC investigators
Requests to submit personal account information and money are red flags of investment fraud
The regulator is looking for three prospective candidates to serve on the securities advisory committee
A sanctions hearing is pending
Allegations of fraud against the Toronto-listed company will face significant hurdles, experts say
Firm failed to ensure employees understood their responsibilities to conduct certain reviews.
Regulators to consult with stakeholder to ensure exemptions strike the right balance between investor protection and efficient capital raising
Garrod agrees to $70,000 penalty
Ban extended after no one from the Chinese shoe manufacturer appeared before the OSC to oppose the order
U.S. regulator ordered more than US$2.8 billion in penalties and disgorgement in its latest fiscal year