Regulation

Signature falsification a major issue among MFDA-licensed firms

February 1, 2017 James Langton
Law Commission of Ontario proposes new rules relating to POAs

P.E.I. gives IIROC stronger enforcement powers

January 31, 2017 James Langton

OSC names five new members to its SPAC

January 31, 2017 James Langton
BMO GAM’s Ross Kappele elected IFIC chairman

Deutsche Bank fined a record £163 million for AML controls failings

January 31, 2017 James Langton

BCSC pays restitution to investor who lost money to a Ponzi scheme

January 30, 2017 James Langton

OSC issues alert on binary options schemes using Kevin O’Leary’s image

January 30, 2017 James Langton
New Brunswick regulator reports increase in suspected fraud

B.C. insurance regulator cancels life agent’s licence

January 30, 2017 James Langton

CSE on CSA’s latest list of fully “protected” marketplaces

January 30, 2017 James Langton

MFDA bans advisor for conducting unauthorized trades on client’s behalf

January 27, 2017 Tessie Sanci

Former Wall Street trader convicted of securities fraud

January 27, 2017 James Langton

SEC sanctions Citigroup for overbilling certain advisory clients

January 26, 2017 James Langton

MFDA bans advisor for personal financial dealings with a client

January 26, 2017 Tessie Sanci