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FCA consults on duty of care requirement

The goal is to improve industry conduct and ensure that firms are treating clients properly.

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OSC suspends mutual fund rep for failing to pass CPH exam

The inability to successfully pass the exam after four attempts demonstrates that the rep lacks the requisite proficiency

FCA proposals aim to improve competition in the investment platform market

The proposals would strengthen competition between asset managers, make it easier for investors and advisors to switch platforms and tackle price discrimination

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OSFI consults on Basel III implementation

Discussion paper proposes tweaks to better suit the Canadian banking market

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FSB report sets out framework to monitor crypto-asset markets

Although the FSB believes that crypto assets do not pose a material risk to global financial stability at this time, it recognizes the need to…

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BCSC reaches settlement for unregistered trading

Former investment dealer agrees to pay more than $170,000 to regulator

  • By: IE Staff
  • July 13, 2018 July 13, 2018
  • 15:30
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IIROC fines and suspends former Regina advisor

Vulnerable clients of Darryl Joseph Yasinowski suffered significant losses

  • July 13, 2018 July 13, 2018
  • 13:30
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OSC issues investor alert on HQ Broker

Investors approached by the unregistered firm’s representatives are urged to contact the regulator

Gavel and legal books

IIROC fines dealer for failure to comply with trading supervision obligations

M Partners sanctioned a second time for audit trail deficiencies

  • July 13, 2018 July 13, 2018
  • 11:00
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Millennials face significant obstacles to investing: study

Six principles aim to better engage millennials in investing

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OSC orders executives to pay millions in penalties in Sino-Forest case

The company and several of its top executives defrauded investors and misled investigators in one of Canada’s largest corporate fraud cases

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CSA enhances enforcement efforts

2017/18 report shows how regulators work collaboratively to address violators

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IIROC requests nominations for market rules advisory committee

The MRAC provides advice to IIROC staff about possible changes to trading rules, guidance and other market regulation issues

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MFDA readies second edition of client research project

A mandatory data request to mutual fund dealers will be issued this fall

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MFDA launches outreach program

The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors

Office buildings in Toronto’s financial district

OSFI seeks comment on revisions to CAR guideline

The revised capital adequacy guideline for banks would take effect in Q1 2019

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MFDA bans Ontario fund dealer, two brothers

International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules

Basel Committee revises G-SIB assessment methodology

The changes intro introduce a trading volume indicator for assessing big banks

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OSC stresses support for investor protection

In its annual statement of priorities, regulator reinforces its commitment to CSA’s proposed reforms and bolstering banking ombudsman

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

Fraudster using fake FSCO form

Ontario regulator issues warning to consumers

  • July 5, 2018 July 5, 2018
  • 10:42
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MFDA passes oversight review

CSA says self-regulatory organization meets terms and conditions of its recognition order

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OSC announces continuous disclosure advisory committee members

Committee members include Catherine McCall, the newly named head of the Canadian Coalition for Good Governance

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IOSCO seeks feedback on proposed good practices for commodities storage and delivery

Proposals aim create a framework that provides incentives to firms and regulators to adopt best practices

Gavel and legal books

MFDA bans former Ontario rep

The former advisor misappropriated client funds and and and created fictitious account statements