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
Latest news in From the Regulators
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
Stolen Bank of Canada documents recovered
Central bank to launch review of internal security procedures
- By: The Canadian Press
- November 17, 2010 December 14, 2017
- 17:10
Calgary duo to pay US$310 million in Ponzi scheme judgment
SEC obtains permanent injunctions against Sorenson and Brost
- By: James Langton
- November 17, 2010 December 14, 2017
- 13:58
Fraud charges dropped in $27 million Ponzi scheme
Ontario AG wants answers
- By: Keith Leslie
- November 16, 2010 December 14, 2017
- 15:30
OSC’s Investor Education Fund wins leadership award
Award recognizes IEF’s leadership in developing content and expanding online deliver
- By: IE Staff
- November 16, 2010 December 14, 2017
- 15:21
IIROC announces $110,000 penalty against Magna Partners
Firm asks OSC to review decision
- By: IE Staff
- November 16, 2010 December 14, 2017
- 10:42
CIBC suspends traders accused of tipping
Bank says it will co-operate with OSC
- By: The Canadian Press
- November 14, 2010 November 14, 2010
- 12:23
OSC fines, suspends two Agoracom directors
Activities on online forums misled investors
- By: Megan Harman
- November 14, 2010 November 14, 2010
- 12:01
ASC bans Ontario-based GDC Investments
Ban intended to protect investors
- By: IE Staff
- November 14, 2010 November 14, 2010
- 11:45
Toronto lawyer accused of leaking confidential information ahead of big deals
Traders alerted in four corporate deals
- By: David Paddon
- November 12, 2010 November 12, 2010
- 10:30
OFSI revises capital guideline for P&C insurers
Guideline introduces new capital ‘floor’
- By: James Langton
- November 11, 2010 November 11, 2010
- 15:21
Quebec bill would improve oversight of money services businesses
Legislation aims to protect investors, fight tax evasion
- By: James Langton
- November 10, 2010 November 10, 2010
- 17:15
BMO Nesbitt Burns fined $3.3 million in FMF settlement
OSC reprimands dealer for due diligence failings
- By: James Langton
- November 10, 2010 November 10, 2010
- 16:37
IIROC disciplines First Financial rep
Alberta man acted as an advisor without being registered as one
- By: IE Staff
- November 10, 2010 November 10, 2010
- 16:15
CIRC deal paves the way for Chinese insurers to invest in financial products on Canadian markets
Eight provincial regulators sign co-operation agreement with China’s insurance regulator
- By: IE Staff
- November 10, 2010 November 10, 2010
- 10:36
Global banking bailout created moral hazard, Carney says
Losses incurred in future crises must be borne by the institutions themselves
- By: Craig Wong, The Canadian Press
- November 9, 2010 November 9, 2010
- 15:10