SEC adopts ‘say on pay’ rule
Smaller firms get temporary exemption
- By: James Langton
- January 25, 2011 December 14, 2017
- 17:36
Latest news in From the Regulators
OSC orders New Life firms to disgorge $22.5 million
Life settlement firm distributed securities without registration
- By: Megan Harman
- January 25, 2011 December 14, 2017
- 17:22
Alberta fund salesman fined for selling products without permission
MFDA imposes five-year suspension, $40,000 fine
- By: IE Staff
- January 25, 2011 December 14, 2017
- 16:39
Merrill paying US$10 million fine to settle SEC fraud charges on trading
Source: The Associated PressMerrill Lynch on Tuesday agreed to pay a US$10 million fine to settle civil securities fraud charges by regulators who accused the…
- By: Marcy Gordon
- January 25, 2011 December 14, 2017
- 15:03
UK regulator considers tougher consumer-protection rules
Interventions could include banning products or prohibiting the sale of certain products to specific groups of customers
- By: James Langton
- January 25, 2011 December 14, 2017
- 10:13
MFDA permanently bans ex Quadrus fund salesman
Unbecoming conduct results in $22,500 fine
- By: IE Staff
- January 24, 2011 December 14, 2017
- 16:52
BCSC panels issue reciprocal orders against 10 individuals
Badshah convicted of fraud
- By: IE Staff
- January 24, 2011 December 14, 2017
- 14:49
SEC report recommends uniform fiduciary standard for broker-dealers and investment advisors
Investors should be protected whether they work with and advisor or broker-dealer
- By: James Langton
- January 24, 2011 December 14, 2017
- 08:39
MFDA granted limited access to National Registration Database
Association to collect information for compliance and enforcement cases
- By: James Langton
- January 23, 2011 December 14, 2017
- 13:31
NBF, two reps fined $400,000 for trading rule violations
Dealer sanctioned for failing to supervise Clarke and O’Reilly
- By: IE Staff
- January 23, 2011 December 14, 2017
- 12:36
MFDA fines ex Dundee fund salesman $75,000
Jones failed to repay loan from client, and refused to co-operate with MFDA investigation
- By: IE Staff
- January 23, 2011 December 14, 2017
- 12:24
Quebec plans consultations on compensation for victims of financial fraud
Finance minister worried that a universal compensation fund would impose additional burden on investors
- By: James Langton
- January 23, 2011 December 14, 2017
- 10:13
SEC adopts new rules for disclosures on asset-backed securities
The U.S. Securities and Exchange Commission Thursday voted to adopt two sets of new rules to bolster disclosure in the asset-backed securities market.The SEC approved…
- By: James Langton
- January 20, 2011 December 14, 2017
- 16:31
Poorly documented third-party arrangement nets $1 million in fines from IIROC
Blackmont Capital, Vancouver rep fined for participating in an arrangement with Clarion Finanz
- By: Megan Harman
- January 20, 2011 December 14, 2017
- 12:22
Norbourg class action settlement will pay additional $55 million
Agreement in principle reached, regulator says
- By: Ross Marowits
- January 19, 2011 December 14, 2017
- 16:20
NBSC investigating X4 Technologies
Inactive company allegedly raising funds
- By: James Langton
- January 19, 2011 December 14, 2017
- 08:38
OSC seeks new members for small business advisory committee
Representatives of reporting issuers, industry associations, advisors, and investing organizations invited to apply
- By: IE Staff
- January 18, 2011 December 14, 2017
- 13:11
UK bank fined $12 million over investment advice failures
FSA hits Barclays with record fine
- By: James Langton
- January 18, 2011 December 14, 2017
- 09:32
Calgary rep fined $35,000 for KYC violations, unauthorized trading
IIROC announces settlement with Paul Ryan Klemke
- By: IE Staff
- January 17, 2011 December 14, 2017
- 16:21
IIROC settles with All Group Financial
Firm admits failure to keep risk-adjusted capital above zero
- By: IE Staff
- January 17, 2011 December 14, 2017
- 16:03
Quebec urges provinces to defend their jurisdiction over securities regulation
Quebec hearing starts, Alberta hearing to start Jan. 24
- By: James Langton
- January 17, 2011 December 14, 2017
- 15:09
OSC issues investor alert about possible York Rio advance fee scheme
Investors warned not to send money to Impact Finance or Douglas Charles
- By: IE Staff
- January 17, 2011 December 14, 2017
- 12:50
IIROC panel sets $455,000 penalty against ex Ottawa rep
Stoneburg banned for misappropriating funds, forging client signature
- By: IE Staff
- January 17, 2011 December 14, 2017
- 12:42
IIROC hikes arbitration award limit to $500,000
Investors can now opt to eliminate cost awards
- By: IE Staff
- January 16, 2011 December 14, 2017
- 14:58
AMF files charges against ex insurance rep
Regulator seeking over $1 million in fines for alleged illegal distributions
- By: James Langton
- January 13, 2011 December 14, 2017
- 16:18