FINTRAC fines two financial firms
Jory Capital, Services Financiers C.M fined for violating anti-money laundering rules
- September 29, 2011 September 29, 2011
- 15:25
Latest news in From the Regulators
Raymond James ordered to repay US$1.7 million to investors
More than 15,500 investors were charged unfair and unreasonable commissions, FINRA says
- September 29, 2011 September 29, 2011
- 13:45
IIROC reviewing U.S. proposed changes to circuit breakers
U.S. securities industry supports SEC proposals
- September 28, 2011 September 28, 2011
- 16:10
CSA extends exemption to dealers from new relationship disclosure requirements
Both the MFDA and IIROC allow a two-year transition period for firms to get in compliance
- September 28, 2011 September 28, 2011
- 15:17
European regulators extend short selling ban again
Moratoriums extended in Spain and Italy
- By: IE Staff
- September 28, 2011 September 28, 2011
- 15:09
OSC considering fiduciary duty for dealers and advisors
Discussion paper will summarize the fiduciary duty debate at home and abroad and identify the key issues involved
- September 26, 2011 September 26, 2011
- 11:52
Dickson tells banks to prepare for greater supervision
OSFI beefing up oversight in corporate governance, compensation and liquidity
- By: Megan Harman
- September 26, 2011 September 26, 2011
- 10:41
Dealers must adapt to increased oversight and compliance, regulators say
Firms should view compliance as a means to avoid problems, not as a burden
- By: Megan Harman
- September 15, 2011 September 15, 2011
- 14:54
Industry supports advisor incorporation, policymakers say
An annual permit system is the most popular option
- By: James Langton
- August 1, 2011 August 1, 2011
- 09:56
BCSC bans former advisor convicted of fraud
British Columbia Securities Commission panels have reciprocated an enforcement order against a former Investor’s Group advisor convicted by the Provincial Court of British Columbia. Under…
- By: IE Staff
- July 13, 2011 December 14, 2017
- 14:17
Golombek: Swap transaction restrictions in effect July 1
- By: Jamie Golombek
- June 28, 2011 January 21, 2018
- 18:52
Planners call on SEC to impose uniform fiduciary standard
Current regulations insufficient to protect investors
- By: James Langton
- June 23, 2011 January 23, 2018
- 14:15
Advisor: IIROC social media policy on wrong track
- By: James Pelmore
- April 18, 2011 December 15, 2017
- 12:02
OSC secures first conviction for fraud
Global Energy operator pleads guilty in New Gold fraud case
- By: James Langton
- April 5, 2011 December 14, 2017
- 12:30
IIROC issues guidance on order types, best execution
Order types without specific execution price limits “of particular concern”
- By: James Langton
- March 31, 2011 March 31, 2011
- 11:11
Ontario court convicts “boiler room” operators
Grossman, Ulfan and Maitland Capital found guilty
- By: IE Staff
- March 24, 2011 December 14, 2017
- 14:59
Consumers left out of regulatory review: Lawyer Geller
- By: Harold Geller
- March 17, 2011 December 15, 2017
- 05:47
Lawyer: “Insurers deny existence of supervision”
- By: Harold Geller
- February 25, 2011 December 15, 2017
- 13:18
Most provinces consider federal proposal for a national securities regulator unconstitutional, Quebec says
The Quebec government says that with six provinces now opposing the creation of a national securities regulator, it was right to resist the federal effort.Alberta,…
- By: James Langton
- February 14, 2011 December 14, 2017
- 16:55
Industry minister reviewing TMX LSE merger deal
Review will be under the Investment Canada Act
- By: James Langton
- February 14, 2011 December 14, 2017
- 15:20
IIROC overhauls rules for dealer organization and registration
Several rules get substantive revisions in addition to plain language rewrite
- By: James Langton
- February 14, 2011 December 14, 2017
- 13:30
Market timing class action against fund companies may still proceed
CI, AIC remain as defendants
- By: James Langton
- February 14, 2011 December 14, 2017
- 12:02
Manitoba to defend provincial role in securities regulation before Supreme Court
Source: The Canadian PressManitoba is joining the fight against a federal government proposal for a single national securities regulator.Finance Minister Rosann Wowchuk says the province…
- By: The Canadian Press
- February 13, 2011 December 14, 2017
- 15:51
MFDA bans Alberta fund salesman
Bytnar fined $150,000 for sales violations, failing to co-operate with an investigation
- By: IE Staff
- February 13, 2011 December 14, 2017
- 14:59
Former WebNet CEO banned for 20 years for illegal distributions
Offering memoranda contained numerous deficiencies, BCSC says
- By: IE Staff
- February 13, 2011 December 14, 2017
- 13:35