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IIROC enforcement activity was flat in 2018

But the total number of decisions rendered by IIROC hearing panels against both firms and advisors increased year-over-year

NSSC issues warning about HQBroker

Regulators in Ontario, New Brunswick and Hong Kong already have issued their own warnings about the firm

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IOSCO calls for greater ESG disclosure

The new guidance from global regulators comes amid increasing investor demand for ESG disclosure

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BCSC to reimburse $1M to wronged investors

The money comes from selling the property of a former mutual fund salesperson

  • By: IE Staff
  • January 17, 2019 January 19, 2019
  • 14:20
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IOSCO aims for improved audit quality

Report recommends a series of best practices to help audit committees ensure high-quality financial audits

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CSA extends comment period on proposed pilot study

TMX Group asked the regulators last week for more time to analyze and provide feedback on the plans

Stacked white books on rules and regulations

IIROC releases priorities for 2019

Focus is on enhanced testing, compensation-related conflicts

  • By: IE Staff
  • January 15, 2019 January 19, 2019
  • 15:35
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OSC establishes task force to reduce regulatory burden

The regulator will look to scrap outdated rules, streamline disclosure requirements and make operational changes to enhance or speed up its dealings with the industry

compliance puzzle

TMX wants more time on proposed trading fee rebate pilot study

Securities regulators in Canada and the U.S. are planning a coordinated study

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Passive funds outperform: Report

EU regulator says fees ate up 25% of retail investors’ returns

Laptop on wooden table showing charts and graph Analysis Business Accounting Statistics Concept

Manitoba regulators introduce financial literacy website

MoneySmartManitoba.ca includes information about investing, budgeting, real estate, insurance and tips on avoiding frauds

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Cryptoassets need oversight: regulator

European Securities and Markets Authority says ICOs leave investors exposed to risk

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European regulators outline fintech best practices

A European Supervisory Authorities report looks at sandboxes and innovation hubs

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IIROC fines Worldsource $100,000

The firm admitted it failed to prevent the double charging of clients who held mutual funds that paid embedded fees within fee-based accounts

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Increase to limit on covered bond issuance would benefit all banks: DBRS

OSFI is currently considering whether to increase the limit on covered bonds, which have become an important source of funding for the big banks’ uninsured…

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Two new members join IAP

Ilana Singer and Daniel Brunet begin two-year terms on Investor Advisory Panel

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Ontario court rules against hedge fund

The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International

Stacked white books on rules and regulations

OSC, TMX Group spar over regulation of clearing agencies

TMX Group argues that domestic clearing firms are subject to prescriptive requirements while some foreign players are granted exemptions from these requirements

High angle view of mallet eyeglasses legal book in courtroom

New lawyers join OSC committee

SPAC provides advice to the commission on administrative tribunal hearings

tax calculator with red button

CRA announces prescribed interest rates

Other tax changes now in effect include passive income changes for small businesses and new carbon pricing system

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ASC lists top risks to investors

Regulator warns of heightened threats regarding emerging industries, such as cannabis and cryptocurrencies

SEC settles with two robo-advisors

Firms sanctioned for making misleading statements to investors

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FINRA report shares cybersecurity best practices

Report aims to help dealers, particularly small firms, ensure they have adequate cybersecurity programs

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North American markets plunge for a second day

Dow drops more than 460 points

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IIROC issues guidance on arrangements between dealers and portfolio managers

Each party has different roles and responsibilities, and different regulatory obligations, to the client