Coventree penalties total $2.25 million
OSC fines firm, two execs for ABCP disclosure failings
- By: James Langton
- November 9, 2011 November 9, 2011
- 14:45
Latest news in From the Regulators
Rajaratnam ordered to pay US$92.8 million SEC fine
Hedge fund manager slapped with record fine for illegal insider trading
- By: James Langton
- November 9, 2011 November 9, 2011
- 10:45
IIROC, CIPF obtain bankruptcy order for MF Global Canada
KMPG appointed trustee in bankruptcy
- By: James Langton
- November 9, 2011 November 9, 2011
- 08:25
Insurers will be challenged to maintain margins, Dickson says
Low interest rates and higher market volatility mean future returns may differ greatly from today’s pricing assumptions
- By: James Langton
- November 8, 2011 November 8, 2011
- 15:25
OSC accuses Zungui execs of not co-operating with investigation
Hearing scheduled for Nov. 23
- By: The Canadian Press
- November 8, 2011 November 8, 2011
- 11:05
OSC to examine investment fund portfolio disclosure
The review is intended to examine how closely a fund’s stated investment objectives and strategies are implemented over time
- By: James Langton
- November 7, 2011 November 7, 2011
- 13:45
Feds move to strengthen anti-money laundering regulations
Proposed changes would increase compliance with Financial Action Task Force standards
- By: James Langton
- November 7, 2011 November 7, 2011
- 12:10
MFDA aims to reduce governance restrictions
Proposed measures would make it easier to find public directors, and boost the number of industry directors on the audit committee
- By: James Langton
- November 7, 2011 November 7, 2011
- 09:50
Montreal broker fined $50,000 for trading violations
IIROC panel says Canaccord rep engaged in unauthorized trades to generate commissions
- By: IE Staff
- November 4, 2011 November 4, 2011
- 14:00
Canadian banks not ‘systemically important’
Financial Stability Board releases its initial list of 29 global systemically important financial institutions
- By: James Langton
- November 4, 2011 November 4, 2011
- 11:45
Canada signs updated agreement to combat tax evasion
Agreement makes the Convention on Mutual Administrative Assistance in Tax Matters a more efficient tool in combating international tax evasion
- By: IE Staff
- November 4, 2011 November 4, 2011
- 10:50
Charges laid in alleged Disability Tax Credit fraud
CRA alleges that directors of a business were working with a medical practitioner to generate DTC certificates containing false or deceptive statements
- By: James Langton
- November 4, 2011 November 4, 2011
- 08:30
Court dismisses appeals of Norshield rulings
No evidence that Xanthoudakis and Smith were denied a fair hearing by OSC panel
- By: IE Staff
- November 3, 2011 November 3, 2011
- 13:20
IIROC to focus on complaint handling: report
Latest round of compliance exams to focus on client complaint handling rule
- By: James Langton
- November 3, 2011 November 3, 2011
- 09:15
New principles aimed at strengthening mortgage underwriting
OSFI issues alert on proposed FSB mortgage underwriting principles
- By: James Langton
- November 3, 2011 November 3, 2011
- 09:00
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
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