SROs can do more to foster competition: report
More can be done by the professions and government to strike the right balance between competition and regulation
- October 3, 2011 October 3, 2011
- 15:45
Latest news in From the Regulators
Ottawa wants Carney appointed world’s top banking regulator
Flaherty says he has taken steps to promote Bank of Canada governor as the next head of the Financial Stability Board
- By: Julian Beltrame
- October 3, 2011 October 3, 2011
- 15:10
OSC director grants rep a “second chance” at registration
Alexander Adams made an “honest mistake” on his application
- October 2, 2011 October 2, 2011
- 15:15
Former Norbourg execs get eight years each in $115 million fraud case
Jean Cholette and Serge Beugre were each found guilty last March of more than 100 charges
- By: The Canadian Press
- October 2, 2011 October 2, 2011
- 15:10
Deutsche Bank Securities fails to halt IIROC hearing
OSC says firm could still bring a motion for a stay at a later stage, or seek a review of any final decision in the…
- October 2, 2011 October 2, 2011
- 13:55
SEC issues alert on master/sub-account risks
Account structures could be used to facilitate a variety of financial crimes
- September 30, 2011 September 30, 2011
- 07:42
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
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