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
Latest news in From the Regulators
AMF set to begin Maple TMX hearings
Stakeholders get their say
- By: James Langton
- November 23, 2011 November 23, 2011
- 14:10
Federal Reserve to stress test largest U.S. banks
Review is designed to ensure that U.S. banks are adequately capitalized to weather a worsening economic storm
- By: James Langton
- November 22, 2011 November 22, 2011
- 16:45
Iran sanctions impose new obligations on Canadian financial institutions
OSFI urges firm to be diligent in ensuring they don't violate prohibitions
- By: James Langton
- November 22, 2011 November 22, 2011
- 14:25
OSC dismisses Rankin bid to revoke tipping settlement
Oral disclosure of Duic investigation to Rankin’s legal counsel deemed sufficient
- By: James Langton
- November 22, 2011 November 22, 2011
- 11:40
Canada, U.S., Britain slap more sanctions on Iran
Ottawa moves to block “virtually all” transactions with Iran’s central bank
- By: Mike Blanchfield
- November 22, 2011 November 22, 2011
- 08:00
SEC charges Canadian in alleged Ponzi scheme
New Futures Trading raised over US$1.3 million from investors
- By: James Langton
- November 18, 2011 November 18, 2011
- 16:40
Ex CIBC rep falsified documents: IIROC panel
McErlean misrepresented investment information to clients about their accounts
- By: Megan Harman
- November 18, 2011 November 18, 2011
- 16:10
CSA adopts changes to electronic document delivery policy
Amendments ensure policy remains up to date
- By: James Langton
- November 18, 2011 November 18, 2011
- 13:30
OSC, FINRA sign co-operation agreement
SROs to share information on firms and individuals, and collaborate on investigations and enforcement matters
- By: James Langton
- November 18, 2011 November 18, 2011
- 12:00
Court overturns BCSC reciprocal enforcement order
Regulator failed to provide reasons for its order
- By: James Langton
- November 16, 2011 December 14, 2017
- 17:30
Boiler room operators get jail time
Da Silva and O’Brien each sentenced to 27 months
- By: IE Staff
- November 16, 2011 November 16, 2011
- 14:15
SEC charges Morgan Stanley for improper fee arrangement
Firm to pay US$3.3 million to settle charges
- By: James Langton
- November 16, 2011 November 16, 2011
- 12:50
Pension regulators update guidelines
New guidelines from CAPSA deal with prudent investment practices and pension funding
- By: James Langton
- November 16, 2011 November 16, 2011
- 11:10
MFDA bans fund salesman
Hefford obtained blank, pre-signed forms for 65 clients
- By: IE Staff
- November 15, 2011 November 15, 2011
- 17:30
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
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