Ontario fund salesman reprimanded for forex scheme, unauthorized sale of debentures
Neale, 360, MSI agree to $500,000 penalty
- By: IE Staff
- October 3, 2010 October 3, 2010
- 14:04
Latest news in From the Regulators
OSC clears Melnyk of breaking securities law but rebukes former Biovail exec
Melnyk may still face official reprimand
- By: David Paddon
- October 3, 2010 October 3, 2010
- 13:50
U.S. report finds one large trader triggered May 6 ‘flash crash’
Computerized selling program set off two waves of ‘liquidity drains’
- By: Marcy Gordon
- October 3, 2010 October 3, 2010
- 12:55
FSCO switches to electronic downloadable insurance licences
Move will help to control costs, prevent counterfeiting
- By: James Langton
- October 3, 2010 October 3, 2010
- 10:31
NBSC responds to investors’ concerns for more info about investing
Online contest to promote Investor Education month
- By: IE Staff
- October 3, 2010 October 3, 2010
- 08:31
FSA pushes for improvements in complaints handling standards
UK regulator releases firm specific complaints data
- By: James Langton
- October 3, 2010 October 3, 2010
- 08:25
Canadian securities regulators approve IFRS-related rule and amendments
Transition to IFRS is fast approaching
- By: IE Staff
- October 1, 2010 October 1, 2010
- 11:01
‘Eggvestments’ scheme earns sanctions from OSC
$500,000 ordered returned to investors
- By: Megan Harman
- September 30, 2010 September 30, 2010
- 16:05
SEC charges ex-CIO with misleading investors about subprime mortgage investments
Investors misled about the riskiness and credit quality of ‘enhanced cash’ fund
- By: James Langton
- September 30, 2010 September 30, 2010
- 13:25
IIROC launches enhanced surveillance system for equity trading
STEP allows regulator to conduct cross-market surveillance; IIROC plans to build capacity to 1 billion messages per day
- By: James Langton
- September 29, 2010 September 29, 2010
- 13:29
ASC concludes $20,000 settlement with Alberta fraudster
McDonald agrees to 15-year ban
- By: IE Staff
- September 29, 2010 September 29, 2010
- 10:08
ASC permanently bans Lethbridge investment consultant
Robert Smylski and and Smylski Consulting Services fined $600,000
- By: IE Staff
- September 28, 2010 September 28, 2010
- 12:51
FINRA proposes to give investors the option of all-public arbitration panels
Proposal intended to enhance confidence in and increase the perception of fairness in the arbitration process
- By: James Langton
- September 28, 2010 September 28, 2010
- 11:21
OSC suspends registration of Carter Securities
Investors warned not to purchase securities from firm
- By: Megan Harman
- September 27, 2010 September 27, 2010
- 15:30
Toronto rep fined $10,000 for failing to meet KYC obligations
Bereskin sanctioned for inadequate due diligence
- By: IE Staff
- September 27, 2010 September 27, 2010
- 15:17
BCSC and MSC warn about another possible York-Rio ‘re-victimization’ scheme
FAB Equity Exchange Group contacting York-Rio investors
- By: IE Staff
- September 27, 2010 September 27, 2010
- 10:11
NBSC announces fall education sessions on capital markets
Topics include access to capital, alternative trading systems
- By: IE Staff
- September 24, 2010 September 24, 2010
- 08:20
Victoria rep fined $60,000
Steinhoff sanctioned for instructing staff to create false documents
- By: Megan Harman
- September 22, 2010 September 22, 2010
- 09:57
Ontario court greenlights market timing class action
Three plaintiffs have signed conditional settlement agreements with three fund companies
- By: James Langton
- September 21, 2010 September 21, 2010
- 16:00
Competitive markets, extensive disclosure are insufficient to protect consumers, says FSA chairman
New UK regulator will be more willing to intervene in retail markets
- By: James Langton
- September 21, 2010 September 21, 2010
- 15:40
Ex-HSBC Securities rep sanctioned for compensating clients for losses
Kwok agrees to pay $18,000 in fines and costs
- By: IE Staff
- September 21, 2010 September 21, 2010
- 13:32
Dominion Investments operators fined $250,000
Douse and James misled forex investors, OSC says
- By: Megan Harman
- September 20, 2010 September 20, 2010
- 15:43
Flaherty announces review of financial institutions legislation
Major reform unlikely, but some fine-tuning may be required
- By: IE Staff
- September 20, 2010 September 20, 2010
- 11:45
FSA and FINRA sign co-operation agreement
Regulators will be able to share information more freely
- By: James Langton
- September 20, 2010 September 20, 2010
- 11:32