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From the Regulators

Australia cracks down on initial coin offerings

ASIC has prevented five proposed ICOs from raising capital without appropriate investor protections

BCSC to extend use of electronic filing

Amendments would require investment funds to file annual reports electronically

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IOSCO issues policy measures to protect investors of OTC leveraged products

Report covers the marketing and sale of rolling-spot forex contracts, contracts for differences and binary options

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OSFI publishes revised corporate governance guidance

Document sets out expectations for boards of directors of federally regulated financial institutions

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NASAA warns investors to watch for scams in Florence’s wake

Scam artists may linger long after the storm has passed

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IOSCO guidance addresses conflicts of interest in equity capital raising

Report details key stages of capital raising where the role of intermediaries might give rise to conflicts of interest

British Columbia provincial parliament building, Victoria, BC

B.C. to restructure Financial Institutions Commission

Making FICOM a Crown agency is intended to strengthen oversight of the financial services sector

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CSA names new secretary general

Laura Belloni succeeds Kim Lachapelle

  • September 17, 2018 September 18, 2018
  • 12:08

OSFI proposes new guideline for insurers’ asset securitization

The proposed amendments are designed to reflect market developments since 2004

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IFIC proposes four titles for advisors

The mutual fund industry trade group support’s the CSA’s proposed ban on titles that are based on sales activity

Businessman analysis the stockmarket on labtop Stock Market Investment Online

CSA signs deal for new market surveillance system

The new platform, which the CSA says will replace its current system, “will capture a broad array of market and transaction data to improve insight…

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Ontario pushes back on CSA’s proposed DSC ban

The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday

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OSC announces seniors expert advisory committee membership

New members include experts in aging and health, investor advocates and industry personnel

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OSC announces speakers for Dialogue 2018

Global regulators and industry executives will address opportunities and challenges in capital markets

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FINRA report identifies benefits and risks of regtech

Technology may make it easier for securities firms to strengthen their compliance programs

Businessman analysis the stockmarket on labtop Stock Market Investment Online

OSC seeks comment on Nasdaq Canada proposed fee change

The proposed changes aim boost trading volume and enhance market quality

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CSA proposes rule regarding non-GAAP and other financial measures

Proposal would give regulators a stronger tool to take appropriate action against companies misleading investors

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MFDA bans former Scotia Securities rep

A female advisor misappropriated more than $31,000 from her father, who was a client

FCA introduces advisor reassessment test

The aim of the test is to raise the standards and competence of advisors

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Outsourcing should be entered into as introducing/carrying dealer arrangement: MFDA

New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight

Robo-advice growing slowly in Europe

No need for immediate regulatory action, regulators say

dirty hands of a miner

AMF offers guidance to help companies disclose exposure to modern slavery

Modern slavery affects tens of millions of people around the world, and Canadian companies may be directly or indirectly exposed

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OSC fines former Aston Hill CEO $125,000

Eric Tremblay admitted he misled OSC staff investigating insider trading involving Amaya Gaming Group

Business People Meeting Discussion in a boardroom concept

IIROC sets date for annual meeting

Members will gather to elect directors

  • August 30, 2018 August 30, 2018
  • 15:45
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FAIR Canada seeks clarity on client-focused reforms

How will firms be able to address conflicts of interest in four common scenarios?