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
Latest news in From the Regulators
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
Lack of a national securities regulator an embarrassment, Flaherty says
Alberta and Quebec are challenging the constitutionality of national watchdog
- By: Lauren Krugel, The Canadian Press
- September 16, 2010 September 16, 2010
- 20:55
SEC settles with ex-Biovail comptroller
Miszuk consents to US$75,000 penalty
- By: James Langton
- September 15, 2010 September 15, 2010
- 15:48
OSC warns investors of advance fee scheme
Featherstone and Bellman reps contacting York Rio investors
- By: IE Staff
- September 15, 2010 September 15, 2010
- 11:20
Bank reform could result in added costs, downsizing, but payoff worth it: Carney
Reforms will benefit Canada’s economy
- By: Julian Beltrame
- September 14, 2010 September 14, 2010
- 11:40
FINRA reaches deal to sell OTCBB assets
Rodman transaction expected to close in 2011
- By: James Langton
- September 14, 2010 September 14, 2010
- 10:54
OSFI to give banks more leeway over excess capital
Less strict approach follows in the wake of new Basel capital rules
- By: James Langton
- September 14, 2010 September 14, 2010
- 10:26
Ex-TD Waterhouse rep sanctioned for forging client signatures
Dean agrees to pay $40,000 in fines and costs
- By: IE Staff
- September 13, 2010 September 13, 2010
- 16:33
Alberta, Quebec united in fight against national securities regulator
Other provinces should not feel compelled to sign an agreement with Ottawa by the end of the month, Morton says
- By: Lauren Krugel, The Canadian Press
- September 13, 2010 September 13, 2010
- 15:50
Governments, financial sector team up launch risk management institute
Global Institute in Risk Management intended to boost Canada’s financial services reputation
- By: IE Staff
- September 13, 2010 September 13, 2010
- 15:08
FINRA fines Trillium Brokerage US$1 million
U.S. regulator fines, suspends 11 at company
- By: James Langton
- September 13, 2010 September 13, 2010
- 10:52
Global regulators agree to tighten bank capital rules
Capital reforms will be presented to the G20 Leaders summit in November
- By: James Langton
- September 13, 2010 September 13, 2010
- 07:42
SEC brings more stocks under circuit breaker program
U.S. regulator also clarifies process for breaking erroneous trades
- By: James Langton
- September 12, 2010 September 12, 2010
- 15:36
SRO dealers get exemption from new disclosure requirements
Exemption applies for one year, or until SROs’ CRM rules take effect
- By: James Langton
- September 12, 2010 September 12, 2010
- 14:21
BCSC proposes new disclosure rules for exempt market investments
More information would strengthen investor protection: Leong
- By: IE Staff
- September 9, 2010 September 9, 2010
- 14:53
IIROC recommends changes in response to May’s “flash crash”
Dealers should provide reps with guidance on the use of stop loss orders
- By: James Langton
- September 9, 2010 September 9, 2010
- 14:25