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Home News From the Regulators

Latest news in From the Regulators

MFDA 2018-2022 Strategic Plan

MFDA strategic plan focuses on three key priorities

The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors

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CSA urges Canadians to watch for signs of financial abuse of older Canadians

The effects of financial abuse frequently go well beyond the pocketbook

  • By: IE Staff
  • June 18, 2018 June 18, 2018
  • 06:00
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Ben Cheng to pay $400,000 in Amaya insider tipping settlement

Former Aston Hill fund manager agrees to testify as a witness for the OSC

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FINRA initiative aims to transform registration

New technology will lead to enhanced efficiencies and reduced compliance costs for firms

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OSC alleges Caldwell failed to fulfill its best execution obligations

Regulator to consider allegations against portfolio and investment manager at July 3 hearing

Quebec National Assembly exterior

Quebec government passes Bill 141

The legislation will boost the ability of self-regulatory organizations to carry out their mandates

Prototype client account statement

CCIR releases model disclosure document for seg funds

Insurers will be able to adapt their disclosures to ensure consistency in language with insurance contracts and Fund Facts documents

  • June 14, 2018 June 14, 2018
  • 15:00
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Proposed derivatives business conduct rules an important milestone

CSA issues a second request for comment

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Former head of Crystal Wealth banned for misappropriating $11.8 million

The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market

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Royal Mutual Funds reprimanded for violating sales practices rule

Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds

senior man giving credit card details on the phone

Older Albertans approached for investment fraud more often

ASC’s annual investor study sheds light on Alberta seniors’ financial security

Downtown Calgary with River skyline`

ASC appoints new general counsel

Samir Sabharwal, who takes over the role effective immediately, has served in various roles with the ASC since 2005

Gavel and legal books

MFDA panel bans former Thunder Bay, Ont., rep

Penalty sends a “clear message” to investment industry members and the public

Senior people walking on the beach

OSC seeks applications for seniors committee

The seniors expert advisory committee includes representatives from the legal, medical and academic communities, along with investment industry and seniors advocates

Canada Parliament Building and clock tower at night

Feds propose changes to Canada’s anti-money laundering regulations

The changes are designed to address deficiencies in Canada’s existing AML regime

Many hands choosing cryptocurrency coins from box labeled ICO

CSA provides additional guidance for offerings of tokens

The new guidance aims to address when an offering of tokens involves an offering of securities

RBC logo Royal Bank of Canada sign

OSC to consider settlement with Royal Mutual Funds

The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds

Block letters spelling fraud, with magnifying glass

OSC to consider settlement with former head of Crystal Wealth

Clayton Smith engaged in fraud, regulator alleges

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OSFI discussion paper examines possible reforms to reinsurance supervision

The insurance environment and reinsurance practices have changed significantly over the past 10 years

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FCA introduces premium listing category for sovereign-controlled companies

The new category aims to encourage more companies to adopt the U.K.’s high governance standards

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OSC approves no-contest settlement with IPC dealers

The two dealers will pay slightly less than $11 million to resolve allegations that clients paid excess fees

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Quebec judge tosses insider trading trial against former Amaya CEO

Autorité des marchés financiers “very disappointed” with decision

Chateau Frontenac in Quebec city

Quebec abandons plan to scrap CSF

The government is retreating in the face of opposition to the plan

CSA cautions Canadians on investing with crypto-asset trading platforms

Investors using the unregulated platforms should not expect to receive the same protections applicable to exchanges or dealers

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IIROC bans former B.C. investment advisor

Former rep sanctioned for unapproved personal financial dealings with clients, and failing to co-operate with an investigation