Court refuses to strike down lawsuit filed against MFDA, SFSC
Saskatchewan fund salesman alleges illegal interference with his business
- By: James Langton
- January 4, 2011 December 14, 2017
- 12:17
Latest news in From the Regulators
UK government introduces bank levy
Funds raised will go towards reducing UK budget deficit
- By: James Langton
- January 4, 2011 December 14, 2017
- 11:01
Two firms seek exemptions to OSC clearing agency requirements
Two firms are seeking exemptions from the requirement that clearing agencies be recognized by the Ontario Securities Commission.On March 1, 2011, changes to securities legislation…
- By: James Langton
- December 23, 2010 December 14, 2017
- 16:47
OSFI revises capital adequacy requirements for life insurers
Changes take effect Jan. 1
- By: James Langton
- December 23, 2010 December 14, 2017
- 15:28
OSFI releases revised MCT guideline for P&C insurers
Regulators and industry to work together to ease the implementation of an audit requirement
- By: James Langton
- December 22, 2010 December 14, 2017
- 13:20
NBSC issues cease-trade order against Texas-based firm, two of its directors
Tycoon Energy not registered in the province
- By: IE Staff
- December 22, 2010 December 14, 2017
- 12:28
AMF seeks $376,000 fine in alleged illegal distribution scheme
Investors out $636,000
- By: IE Staff
- December 22, 2010 December 14, 2017
- 11:25
Court thwarts IPC’s attempt to recover client compensation costs from advisor
Principal-agent agreement signed with previous dealer doesn’t apply, court rules
- By: James Langton
- December 22, 2010 December 14, 2017
- 09:02
Investment club operator fined $15,000 for trading securities without registration
OSC settlement imposes eight year ban on Tulsiani
- By: Megan Harman
- December 21, 2010 December 14, 2017
- 16:07
SEC charges hedge fund manager, trustees with running multi-million dollar offering fraud
Scheme raised in US$34 million from investors in U.S., Canada
- By: James Langton
- December 21, 2010 December 14, 2017
- 15:35
Court dismisses Watt Carmichael’s appeal of OSC penalties
OSC awarded $25,000 in costs
- By: Megan Harman
- December 21, 2010 December 21, 2010
- 14:10
Ontario regulator proposes mandatory CE requirements for mortgage brokers
Compliance exams point to a need for ongoing education requirements. FSCO says
- By: James Langton
- December 21, 2010 December 14, 2017
- 12:08
AMF seeks $2.8 million in fines in alleged illegal distributions case
Quebec’s securities regulator has brought charges against six individuals, and is seeking fines of almost $2.8 million, in an alleged illegal distributions case. The Autorité…
- By: James Langton
- December 21, 2010 December 14, 2017
- 09:48
Provinces agree on pooled pensions, but CPP changes will have to wait
Economic recovery is fragile
- By: Lauren Krugel, The Canadian Press
- December 20, 2010 December 14, 2017
- 19:40
Regulators mull options for incorporation of individual sales reps
Consultation paper presents several proposals
- By: James Langton
- December 20, 2010 December 14, 2017
- 16:40
Provinces call for CPP expansion ahead of finance ministers’ meeting
Alberta, Quebec at odds with other provinces
- By: James Keller
- December 19, 2010 December 14, 2017
- 20:30
Quebec sees benefit in multi-employer pension plans
More work needs to be done on enhancing CPP, QPP
- By: IE Staff
- December 19, 2010 December 14, 2017
- 17:08
ASC finds venture capital specialist perpetrated a fraud
Reeves lied to investors and misappropriated their money
- By: IE Staff
- December 19, 2010 December 14, 2017
- 16:55
B.C. fund salesman gets $10,000 fine, six-month suspension
Smiechowski sanctioned for personal financial dealings with a client
- By: IE Staff
- December 19, 2010 December 14, 2017
- 16:42
Seven joining OSC’s Securities Advisory Committee
The Ontario Securities Commission has Friday announced the new members for its Securities Advisory Committee, which consults with the commission on a wide range of…
- By: James Langton
- December 19, 2010 December 14, 2017
- 16:20
OSC sets aside IIROC sanctions against Credifinance
IIROC reasoning deemed “inadequate”
- By: Megan Harman
- December 16, 2010 December 14, 2017
- 16:56
ASC reaches $95,000 settlement in illegal distribution of Reveal.ca securities
Ex CEO Sayler agrees to sanctions
- By: IE Staff
- December 16, 2010 December 14, 2017
- 16:43
IIROC sets date for next test of business continuity plans
Industry test scheduled for September
- By: James Langton
- December 16, 2010 December 14, 2017
- 16:31
Banks have far to go to meet new capital requirements
Basel III framework published
- By: James Langton
- December 16, 2010 December 14, 2017
- 14:46
Ottawa wants more pension options for self employed, small business
Finance ministers to discuss framework next week
- By: Julian Beltrame
- December 16, 2010 December 16, 2010
- 12:58