Regulatory

The next leader of SEC will be…

Mary J. Miller, the under secretary for domestic finance at the U.S. Treasury Department, could become the next leader of the SEC.

By Staff |November 23, 2012

1 min read

Rep fined $110,000, suspended

On October 31, 2012, an IIROC hearing panel issued a settlement agreement, with sanctions, between IIROC staff and Ronald Lann.

By Staff |November 19, 2012

1 min read

B.C. man sanctioned, fined $10,000

In a settlement agreement with the British Columbia Securities Commission, Sean Tan and Berkeley Coffee & Tea have admitted to illegally distributed securities in B.C.

By Staff |November 15, 2012

2 min read

Regulators rein in advisors on leverage

The regulatory world is continually shifting, leaving advisors struggling to keep up.

November 15, 2012

3 min read