Golombek: Swap transaction restrictions in effect July 1
- By: Jamie Golombek
- June 28, 2011 January 21, 2018
- 18:52
Latest news in From the Regulators
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
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
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