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From the Regulators

Basel Committee reports progress on post-crisis reforms

There has been “limited progress” on some Basel III standards that were required to be adopted in 2017

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AMF and CDIC agreement designed to bolster oversight of Canada’s big banks.

The MoU aims prevent and deal with the potential failure of a domestic systemically important financial institution

FSB publishes toolkit to mitigate misconduct risk

The toolkit provides firms and supervisors with ways to improve conduct and strengthen accountability

Business People Meeting Discussion in a boardroom concept

OSC to consider settlement with 1832

Regulator alleges investment fund manager violated mutual fund sales practices rule

  • April 20, 2018 April 20, 2018
  • 11:50
Gavel and legal books

MFDA bans P.E.I. advisor

Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs

coin stacks with letter dice - fees

MFDA seeks input on expanding cost reporting

The self-regulatory organization hopes to spark a discussion on mutual fund cost reporting

CSA seeks feedback on proposed derivatives registration rule

Registration regime aims to protect investors, reduce risk and improve transparency in the OTC derivatives markets

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

SEC proposes best interest rule

The U.S. regulator has also proposed introducing a mandatory new disclosure document that sets out the terms of advisory relationships

Businessman takes bag of money from another businessman.

Feds publish regulations for large banks’ bail-in regime

OSFI issues final TLAC guideline for Canada’s banks

Judge gavel, scales of justice and law books in court

Ontario man gets jail time for investment fraud

Senior citizen duped into paying $90,000 for worthless shares

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OSC gathering info for compliance reviews

The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

OSC warns investors about BitConnect

The cryptocurrency firm is not registered in Ontario

Judge gavel, scales of justice and law books in court

B.C. moves to strengthen SRO enforcement

Amendments will allow IIROC and the MFDA to enforce penalties as court orders

FINRA names Janney Montgomery Scott CEO to board of directors

Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year

IIROC grants unnamed dealer exemption from client account statements requirement

The two clients are affiliates of the investment dealer

SEC awards whistleblower more than US$2.1 million

The information “strongly supported” several successful enforcement actions

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Regulators approve MFDA membership disclosure rule

The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors

guidelines and regulations binders

CSA seeks comment on soliciting dealer arrangements

The practice raises concerns regarding conflicts of interests for dealers and corporate governance for companies

CSA outlines disclosure expectations for real estate companies and REITs

A recent review of REITS and REOCs flagged a number of concerns with their disclosure practices

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IIROC warns against illegal sales of binary options, cryptocurrencies

Fraudsters are misrepresenting themselves as IIROC-regulated investment dealers

Close-up Of Two Businessman Analyzing Graph On Digital Tablet

MFDA announces 2018 client research project

Mutual fund dealers can expect a mandatory request for data in June

Global policymakers issue guidance on supervisory stress testing of CCPs

The final framework incorporates feedback received during consultations

ASC introduces two new commission members

Steven Cohen, Raymond Crossley appointed for three-year terms

  • By: IE Staff
  • April 9, 2018 April 9, 2018
  • 17:15
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IIROC releases final guidance on discount brokerages

The self-regulatory organization expects firms to rebate the portion of a mutual fund’s trailing commission that is related to advice

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OSC mediation program to continue on a permanent basis

The Ontario regulator seeks five mediators to join its roster