MFDA fines ex Peak fund salesman $120,000
Burner failed to reimburse clients for DSCs on fund trades
- By: Megan Harman
- December 14, 2010 December 14, 2017
- 07:24
Latest news in From the Regulators
Transition office starts work on rules for national securities regulator
CSTO intends to adapt existing harmonized provincial rules
- By: James Langton
- December 13, 2010 December 14, 2017
- 16:35
OSFI seeks comment on proposed changes to capital rules for P&C insurers
Comments due Jan. 14
- By: James Langton
- December 13, 2010 December 14, 2017
- 14:51
AMF files suit against fund salesman for illegal sale of securities
Quebec regulator seeking $2.9 million fine
- By: IE Staff
- December 13, 2010 December 14, 2017
- 12:56
AMF files suit against man who illegally acted as a securities dealer
Regular seeking $258,000, three times the minimum fine
- By: IE Staff
- December 12, 2010 December 14, 2017
- 10:45
UK raises rate of planned bank tax
Rate for 2011 will be 0.05%
- By: James Langton
- December 9, 2010 December 14, 2017
- 11:42
Foreign exchange fraud spotlighted at N.B. white collar crime symposium
Foreign exchange fraud will be discussed by law enforcement and regulatory agencies at the fourth annual White Collar Crime Symposium in Saint John, N.B. on…
- By: IE Staff
- December 9, 2010 December 14, 2017
- 11:09
AMF seeks more than $3 million in fines for illegal distributions
260 charges filed against Véhicules Nemo, individuals
- By: James Langton
- December 8, 2010 December 14, 2017
- 16:48
Regulation and supervision are critical and should not be watered down, says Canada’s chief banking regulator
Dickson skeptical of publicly reported stress tests
- By: James Langton
- December 8, 2010 December 14, 2017
- 14:07
Ottawa, Saskatchewan release proposals to improve Saskatchewan Pension Plan
Ontario passes bill to further pension reform
- By: James Langton
- December 7, 2010 December 14, 2017
- 16:39
MFDA spells out proficiency requirements
Notice sets out requirements for salespeople, compliance officers and branch managers
- By: James Langton
- December 7, 2010 December 14, 2017
- 15:19
Court dismisses appeal by former trader regarding IIROC jurisdiction
IIROC awarded $15,000 in costs
- By: IE Staff
- December 6, 2010 December 14, 2017
- 15:58
MFDA members approve CRM proposals
Deadlines set for firms to meet new requirements
- By: James Langton
- December 6, 2010 December 14, 2017
- 07:56
Ex Investors Group fund salesman ordered to pay $45,000 penalty
Vilfort misappropriated funds, failed to return client information: MFDA panel
- By: IE Staff
- December 5, 2010 December 14, 2017
- 13:26
CSA extends registration exemption for mortgage investment firms
Regulators say they need more time to study the issue
- December 5, 2010 December 14, 2017
- 11:42
MFDA approves four industry directors
Members confirm auditors, amendments at annual general meeting
- By: IE Staff
- December 2, 2010 December 14, 2017
- 15:52
B.C. man slapped with 20-year ban for illegally raising $12 million from investors
Bankrupt Friedland unable to pay BCSC $225,000 fine
- By: IE Staff
- December 2, 2010 December 14, 2017
- 14:42
RBS cleared of wrongdoing by UK regulator
Bank made a series of ‘bad decisions’
- By: James Langton
- December 2, 2010 December 14, 2017
- 11:28
Regulators sound warning on poor corporate governance disclosure
Level of non-compliance `unacceptable’, CSA says
- By: James Langton
- December 2, 2010 December 14, 2017
- 10:40
Basel Committee approves capital adequacy and liquidity reform details
Text of Basel III rules to be published by the end of this year
- By: James Langton
- December 1, 2010 December 14, 2017
- 14:25
Ex Dundee Securities rep a forger and a fraudster, says IIROC panel
O’Neill misappropriated more than $200,000 of client funds
- By: IE Staff
- December 1, 2010 December 14, 2017
- 11:59
MFDA to provide dealers with past enforcement info on reps
Dealers must obtain rep’s consent, pay $50 fee
- By: James Langton
- December 1, 2010 December 14, 2017
- 07:28
IIROC proposes new fee model
25% of dealers will see fee increase
- By: James Langton
- November 30, 2010 December 14, 2017
- 17:11
IIROC issues draft guidance on best execution obligations
Regulator seeks comment on handling of order flows, use of certain order types
- By: James Langton
- November 30, 2010 December 14, 2017
- 16:55
Ottawa reconsiders RRIF policy change
Government to review impact of policy on seniors
- By: The Canadian Press
- November 28, 2010 December 14, 2017
- 17:00