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Insurers’ supervision of MGAs falls short, Ontario regulator says

FSRA releases findings from a review and outlines next steps

BoC appoints director of retail payments supervision

The position supports a new mandate of the central bank

  • By: IE Staff
  • July 29, 2021 July 29, 2021
  • 12:11
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CSA proposes streamlined capital raising

The proposal would allow eligible issuers to raise up to $10 million annually

  • By: IE Staff
  • July 28, 2021 July 28, 2021
  • 15:04
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IIROC’s client identifier requirements take full effect

The measures enhance market monitoring and investigations

  • By: IE Staff
  • July 28, 2021 July 28, 2021
  • 13:34
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FSRA issues guidance for pension plan administrators

The guidance details administrators' fiduciary duties, including addressing conflicts

  • By: IE Staff
  • July 28, 2021 July 28, 2021
  • 12:56
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Investment fund charges should be included in fee summaries: report

A report for the MFDA uses behavioural insights to recommend expanded cost reporting

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MFDA’s new CE regime to launch in the fall

Fund dealers' first CE cycle to kick off on Dec. 1

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PwC denies report of potential Bridging Finance sale

The receiver plans to file materials next week seeking court approval for a sale process

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FSRA proposes fees for title regulation

The model sets out how costs will be shared among credentialing bodies

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Fight over Bridging Finance evidence brewing

The OSC is gearing up to oppose claims of improper disclosure

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ASIC puts cold calling on ice

Inquest into industry misconduct leads to "anti-hawking" reforms

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Financial market plumbing not prepared for quick recovery, regs warn

A review found a lack of timely recovery plans, leading to a "serious concern"

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OSC seeks technical expertise on fund regulation

Senior industry compliance and operations experts are wanted for a regulatory advisory committee

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Basel Committee proposes change to G-SIB assessments

Regulators seek to scrap three-year review for ongoing monitoring

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FCA issues anti-greenwashing guidance

The U.K. regulator found the quality of asset managers' ESG fund disclosure to be poor

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SEC settles with UBS over use of volatility-linked product

The US$8.1-million settlement will be distributed to harmed investors

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Crypto regulation a plus for banks, fintechs: Moody’s

Federal Reserve's plans for stablecoins could bring transparency and safety to the sector

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Accountability board seeks to step up enforcement disclosure

Greater transparency could help investors and improve audit quality


Finance reviews complaint-handling system of banks

Consultation follows a report that exposed deficiencies with the current system

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SPACs pose added risks to investors, ESMA warns

Shell company deals can be complex and risky, regulators say


Offshore firms pay $4 million for unregistered CFD trading

An OSC hearing panel approves a settlement and says the sanctions represent a deterrent

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OSC warns firms about recent phishing attacks

Industry firms have been targeted with campaigns impersonating regulators

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Industry recruited in the fight against senior abuse

New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors

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Covid-19 gave kickstart to cyber attacks

Remote working, increased dependence on technology and economic disruption have created a perfect storm for cyber criminals