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
Latest news in From the Regulators
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
Financial executives satisfied with OSFI supervision, regulation: survey
Regulator rated highly on contributing to public confidence.
- By: James Langton
- February 3, 2011 December 14, 2017
- 16:28
TD Ameritrade settles with SEC for US$10 million
Regulator alleges firm failed to prevent misrepresentations to investors regarding Reserve Yield Plus Fund
- By: IE Staff
- February 3, 2011 December 14, 2017
- 13:03
OSC to hear application from banned investment banker
Rankin looking to alter tipping settlement
- By: James Langton
- February 3, 2011 December 14, 2017
- 10:39
Impose fiduciary duty on all who provide financial advice: NASAA
Current fragmented standards fail to protect investors
- By: James Langton
- February 2, 2011 December 14, 2017
- 18:36
Wheatley to head replacement for UK’s Financial Services Authority
He will work with FSA to prepare for the transition to the new regulatory structure
- By: James Langton
- February 2, 2011 December 14, 2017
- 12:20
Credit Suisse Securities fined $150,000 for trading supervision failings
Deficiencies in trade supervision for artificial pricing remedied: IIROC panel
- By: IE Staff
- February 2, 2011 December 14, 2017
- 11:47
IOSCO report spells out principles for point of sale disclosure
Principles designed to assist regulators considering point of sale disclosure requirements
- By: James Langton
- February 2, 2011 December 14, 2017
- 10:08
Geller on MGA regulation: “More accountability”
- By: Lawrence Geller
- February 2, 2011 December 15, 2017
- 07:33
Ex Laurier Capital CEO sanctioned for firm’s compliance shortcomings
MFDA imposes three-year prohibition, $5,000 fine
- By: Megan Harman
- February 1, 2011 December 14, 2017
- 16:20
SEC files charges in US$33 million international microcap fraud
Regulator alleges scheme devised by Canadian citizen
- By: James Langton
- February 1, 2011 December 14, 2017
- 15:44