Regulation

Off-book trades result in $40,000 fine

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Carol Voyer.

By Staff |February 29, 2012

2 min read

“Gordon Gekko” warns against illegal trading

Michael Douglas, famous for his line “greed is good” in the 1987 film Wall Street, has stepped up as the new spokesman for the FBI in its war against corruption on Wall Street.

By Staff |February 28, 2012

1 min read

Branch manager fined $20,000 for unregistered “rep”

A settlement hearing in the matter of Anu Bala Jain was held today in Toronto, Ontario before a hearing panel of the MFDA's Central Regional Council.

By Staff |February 28, 2012

3 min read

OSC got tough in 2011

The Ontario Securities Commission (OSC) has issued its annual report on enforcement activity, detailing the actions it has taken to disrupt potential illegal activity, both nationally and internationally, to protect Ontario investors from ongoing harm.

February 24, 2012

2 min read