IPC Securities fined for accredited investor failings
New policies and procedures result from IIROC investigation
- By: IE Staff
- May 25, 2010 May 25, 2010
- 14:08
Latest news in From the Regulators
Two B.C. brokers fined for trading rule violations
IIROC sanctions against Mauro and Harding total $80,000
- By: IE Staff
- May 25, 2010 May 25, 2010
- 13:59
CSA helps young Canadians increase financial literacy with the “Financial Fitness Challenge”
National grand prize winner from Belleville, Ont.
- By: IE Staff
- May 25, 2010 May 25, 2010
- 10:00
IOSCO releases principles on cross-border supervision
Co-operative relationships will allow regulators to oversee financial services firms that operate in multiple jurisdictions
- By: James Langton
- May 25, 2010 May 25, 2010
- 08:30
OSFI issues draft guideline on capital targets for insurers
Volatile markets underscore the need for supportable targets
- By: James Langton
- May 21, 2010 May 21, 2010
- 13:51
Ex-Investors Group salesman fined $25,000
Levy banned for violating MFDA rules
- By: Megan Harman
- May 20, 2010 May 20, 2010
- 16:17
Proposed HST changes intended to level the playing field for financial institutions
Transition rules for Ontario and B.C. outlined
- By: IE Staff
- May 20, 2010 May 20, 2010
- 11:28
Toronto broker fined $97,000
Rep engaged in third-party dealings without dealer’s knowledge
- By: IE Staff
- May 19, 2010 May 19, 2010
- 14:54
MFDA terminates membership of ASL Direct
A hearing panel of the Central Regional Council of the Mutual Fund Dealears Association of Canada has terminated the membership of fund dealer ASL Direct…
- By: IE Staff
- May 19, 2010 May 19, 2010
- 13:49
SEC proposes circuit breakers for single stocks
New measures aimed at avoiding market plunges
- By: James Langton
- May 19, 2010 May 19, 2010
- 07:27
IIROC announces penalty for Questrade over FX margin rates
Online brokerage fined $150,000
- By: IE Staff
- May 18, 2010 May 18, 2010
- 15:36
ASC sanctions Hav-Loc Private Wealth Partners and CEO
Marketing materials misled investor about due diligence activities
- By: IE Staff
- May 17, 2010 May 17, 2010
- 15:30
P.E.I. advisor joins committee on Canadian securities regulator
ScotiaMcLeod’s Hashmi appointed to advisory committee
- By: IE Staff
- May 17, 2010 May 17, 2010
- 15:08
Canadian regulators reviewing electronic trading risks following recent market volatility
Canadian regulators reviewing electronic trading risks following recent market volatility
- By: James Langton
- May 16, 2010 May 16, 2010
- 16:19
OSC to take a closer look at fund manager changes
Staff to review whether ‘change in control’ applications require unitholder approval
- By: James Langton
- May 16, 2010 May 16, 2010
- 15:02
ASC seeks bans against Cyprus-based Genius Funds
Staff allege Genius illegally solicited investments from Alberta residents
- By: IE Staff
- May 16, 2010 May 16, 2010
- 14:15
National securities commission under attack from Quebec finance minister
Bachand doubtful that enforcement would be improved with a national commission
- By: IE Staff
- May 13, 2010 May 13, 2010
- 16:20
SEC settles with ex-Merrill exec in Enron fraud case
“Sham” transactions boosted Enron’s reported income
- By: James Langton
- May 12, 2010 May 12, 2010
- 16:35
Bank of New York unit sued for Madoff-related fraud
N.Y. attorney general alleges Ivy misled clients
- By: James Langton
- May 12, 2010 May 12, 2010
- 07:25
International regulators offer guidance on OTC derivatives market
Two reports tackle central counterparties, trade repositories
- By: James Langton
- May 11, 2010 May 11, 2010
- 15:48
Nova Scotia seeks input on changes to mortgage legislation
Proposed legislation would provide clearer guidelines to mortgage brokers and lenders
- By: IE Staff
- May 11, 2010 May 11, 2010
- 13:25
Toronto should be home to national securities regulator: McGuinty
Single regulator would make Canada more open to investment
- By: Keith Leslie
- May 11, 2010 May 11, 2010
- 11:38
U.S. regulators set up panel to study market plunge
SEC, CFTC joint committee will address emerging regulatory issues
- By: James Langton
- May 11, 2010 May 11, 2010
- 11:21
AMF cautions investors about JM Finance Group
Montreal-based firm has allegedly targeted foreign investors
- By: James Langton
- May 11, 2010 May 11, 2010
- 10:29
Toronto foundation loses charitable status for bilking taxman
Cash funnelled into the hands of the promoters rather than charitable purposes, CRA says
- By: The Canadian Press
- May 11, 2010 May 11, 2010
- 09:36