Research generates $10,000 penalty for First Financial rep
Alberta rep fined for acting as an “advisor” without being registered as such
- By: IE Staff
- February 13, 2011 December 14, 2017
- 11:46
Latest news in From the Regulators
Newlink’s Innes: MGA licensing, regulations on the way
- By: Byren Innes
- February 10, 2011 December 15, 2017
- 20:30
OSC postpones Rankin hearing
Former investment banker looking to alter tipping settlement
- By: IE Staff
- February 10, 2011 December 14, 2017
- 14:06
BCSC seeks reciprocal order against banned Vancouver broker
The executive director of the British Columbia Securities Commission has issued a notice of hearing seeking reciprocal orders against Dirk Christian Lohrisch based on a…
- By: IE Staff
- February 10, 2011 December 14, 2017
- 14:00
U.S. Treasury identifies Lebanese Canadian Bank as a “money laundering concern”
Treasury alleges drug traffickers launder hundreds of millions of dollars monthly through accounts held at the bank
- By: James Langton
- February 10, 2011 December 14, 2017
- 11:19
Bank employee accused of taking $206,000 from accounts of 31 seniors across Canada
Toronto woman released on bail
- By: The Canadian Press
- February 10, 2011 December 14, 2017
- 09:47
IIROC announces penalties against Jory Capital, firm’s CEO
Cooney fined $100,000; Jory Capital fined $120,000
- By: IE Staff
- February 9, 2011 December 14, 2017
- 20:48
IIROC imposes $100,000 penalty against National Bank Direct Brokerage
Firm fined for supervision, record keeping failings
- By: IE Staff
- February 9, 2011 December 14, 2017
- 19:17
Fraud conviction upheld against man who bilked Ontario investors of $40 million
Source: The Canadian PressOntario’s top court has upheld a fraud conviction against a man who bilked investors out of more than $40 million.While Mark Eizenga’s…
- By: The Canadian Press
- February 9, 2011 December 14, 2017
- 17:30
CCIR report the first step to MGA regulation?
Growth of MGA distribution model may have created risks to consumers
- By: James Langton
- February 9, 2011 December 14, 2017
- 17:04
Panel fines ex IPC Securities rep violated IIROC rules
Dennis failed to inform his firm about referral arrangement
- By: IE Staff
- February 9, 2011 December 14, 2017
- 16:12
Ex Argosy rep fined $50,000 for trading violations
Shamseer made discretionary trades without having account approved as discretionary
- By: IE Staff
- February 9, 2011 December 14, 2017
- 15:59
OSC to review TSX/LSE merger plan
Regulatory approval needed for a firm to take control of more than 10% of the voting shares of TMX Group
- By: James Langton
- February 9, 2011 December 14, 2017
- 14:49
Quebec to review proposed merger of TMX Group with LSE
Provincial regulator asked to hold hearings
- By: James Langton
- February 9, 2011 December 14, 2017
- 10:58
Industry minister watching possible TSX merger with London Stock Exchange
Review to determine if deal is a “net benefit” to Canada
- By: The Canadian Press
- February 9, 2011 December 14, 2017
- 10:42
NBSC issues alert on Global-Med Technologies
Firm agrees to seek proper registration
- By: IE Staff
- February 9, 2011 December 14, 2017
- 09:50
Ex RBC DS rep banned for misappropriating client funds
IIROC orders Dettelbach to pay $115,000 in fines and costs
- By: IE Staff
- February 8, 2011 December 14, 2017
- 16:35
SEC charges hedge fund with insider trading
Four received illegal tips from the expert network consultants, regulator alleges
- By: James Langton
- February 8, 2011 December 14, 2017
- 15:04
B.C. backs away from proposed national securities regulator
Province would support a more co-operative model
- By: James Langton
- February 8, 2011 December 14, 2017
- 14:39
BCSC fines fraudster $6 million, issues lifetime bans
Castiglioni lied about being a registered advisor
- By: Megan Harman
- February 8, 2011 December 14, 2017
- 10:38
Ex BMO Nesbitt Burns rep banned for misappropriating client funds
Rao ordered to pay $285,000 in fines and costs
- By: IE Staff
- February 7, 2011 December 14, 2017
- 15:25
Lawyer: “Not much impact” here from SEC’s fiduciary debate
- By: Laura Paglia
- February 7, 2011 December 15, 2017
- 13:56
IIROC outlines rules for social media websites
Dealers must ensure all methods of communication comply with applicable regulatory requirements and securities legislation
- By: James Langton
- February 7, 2011 December 14, 2017
- 12:25
TSX proposes new listing sub-category for development state oil & gas companies
Exchange seeks comment on changes to listing requirements
- February 6, 2011 December 14, 2017
- 14:58
IIROC proposes change to governance by-laws
Amendments would allow the appointment of substitute directors for shorter periods
- By: James Langton
- February 6, 2011 December 14, 2017
- 13:34