ASC orders $385,000 in sanctions connected to Front Row Tickets securities
At least $15 million was raised without prospectus or registration
- By: Megan Harman
- November 28, 2010 December 14, 2017
- 15:59
Latest news in From the Regulators
Taseko Mines trading case referred to RCMP
RCMP’s A division to decide whether to pursue full investigation
- By: The Canadian Press
- November 28, 2010 December 14, 2017
- 15:32
Task force proposes updates to anti-money laundering standards
Terrorist financing methods have changed since standards were last revised in 2003
- By: IE Staff
- November 28, 2010 December 14, 2017
- 15:19
OSC issues 10 tips for companies preparing first IFRS filings
Companies should inform investors of the impact the transition had on financial results
- By: IE Staff
- November 28, 2010 December 14, 2017
- 12:41
IIROC to consider penalties against National Bank Financial
Firm and two reps allegedly violated UMIR between April 2006 and June 2007
- By: IE Staff
- November 28, 2010 December 14, 2017
- 11:28
IIROC proposes time limit on initiating enforcement proceedings
Regulator would have six years to launch proceedings against members, reps
- By: James Langton
- November 28, 2010 December 14, 2017
- 10:52
Ottawa losing control of push for national securities regulator, says Ontario finance minister
Duncan complains of lack of federal leadership in debate
- By: Keith Leslie
- November 25, 2010 November 25, 2010
- 18:45
BCSC confirms review of unusual trading in Taseko Mines
MPs call for investigation
- By: The Canadian Press
- November 25, 2010 December 14, 2017
- 15:50
ASC seeks bans against Sabourin et al. for investment scam
Scheme misappropriated up to $27.9 million of investors’ funds
- By: IE Staff
- November 25, 2010 December 14, 2017
- 14:17
OSC Investor Advisory Panel reaching out to investors
Panel submits first comments to regulators
- By: James Langton
- November 24, 2010 December 14, 2017
- 13:02
MFDA bans ex Assante fund salesman
Gabrielson fined $10,000
- By: Megan Harman
- November 23, 2010 December 14, 2017
- 17:10
National regulator could put junior issuers at risk: BCSC
Provincial expertise in regulating junior markets may be lost
- By: James Langton
- November 23, 2010 December 14, 2017
- 16:17
MFDA moving ahead with transaction fee disclosure
Rule intended to address complaints from investors who were not informed of fees and charges
- By: James Langton
- November 23, 2010 December 14, 2017
- 14:13
Ex Great-West Life agent gets eight years for bilking clients of their savings
Palmer ordered to pay more than $1 million in restitution
- By: The Canadian Press
- November 23, 2010 December 14, 2017
- 09:39
IIROC notes compliance shortcomings by Jory Capital, CEO
Penalty to be determined at a later date
- By: IE Staff
- November 22, 2010 December 14, 2017
- 16:33
IIROC bans Kelowna rep
Trites fined $25,000 for failing to co-operate with an IIROC investigation
- By: IE Staff
- November 22, 2010 December 14, 2017
- 16:24
Penny stock fraud nets Toronto man 25-year sentence in U.S. prison
Georgiou ordered to pay US$56 million in restitution
- By: IE Staff
- November 22, 2010 December 14, 2017
- 12:15
BCSC bans fraudster and orders him to surrender ill-gotten gains
Kyllo to pay $1.75 million penalty, disgorge funds raised from investors
- By: IE Staff
- November 21, 2010 December 14, 2017
- 10:50
SEC proposes new rules for hedge funds
The U.S. Securities and Exchange Commission is proposing new rules to expand oversight of investment advisors that run private funds, such as hedge funds.
- By: James Langton
- November 21, 2010 December 14, 2017
- 10:45
CSA, IIROC publish proposals on regulating ‘dark pools’ and ‘dark orders’
Only orders that meet a minimum size threshold would be exempt from pre-trade transparency requirements
- By: James Langton
- November 21, 2010 December 14, 2017
- 10:26
Regulators propose changes to executive compensation disclosure
Report finds shortcomings in companies’ disclosure
- By: James Langton
- November 21, 2010 December 14, 2017
- 10:13
Hallett: Commissions here to stay for a while
- By: Dan Hallett
- November 18, 2010 December 15, 2017
- 22:37
IIROC proposes circuit breakers for individual stocks
Five minute halt for TSX-listed shares
- By: James Langton
- November 18, 2010 December 14, 2017
- 16:53
NSSC settles with BMO Nesbitt Burns advisor
Elsie to pay $3,500 in fine and coss
- By: IE Staff
- November 18, 2010 December 14, 2017
- 15:43
OSC to regulate OTC derivatives market
Ontario proposes rules for credit rating agencies and measures to strengthen alternative trading systems
- By: James Langton
- November 18, 2010 December 14, 2017
- 15:10