Home News From the Regulators

Latest news in From the Regulators

Technology security concept. Modern safety digital background. Protection system

FSB publishes Cyber Lexicon

Publication aims to support the work of the FSB and others to address financial sector cybersecurity

Quebec and Canadian Flags`

Quebec won’t join national regulator

The Autorité des marchés financiers will continue overseeing all stakeholders in the Quebec financial sector

ESMA again extends temporary ban on binary options for retail investors

The European regulator will renew the ban for three months

Supreme Court of Canada building in Ottawa

CMRA does not violate constitution, Supreme Court rules

With the constitutional challenge resolved, there’s still lots to be done in creating a national regulator

xhausted businessman dragging heavy chains

OSC launches task force to lighten regulation

Creation of internal group reflects shift in approach toward securities regulation by OSC and the provincial government

Gavel and judgement on desk

Investors support proposed IIROC enforcement alternatives, survey finds

The majority of respondents said the proposed fines for minor rule violations were too low and should be raised

Block letters spelling fraud, with magnifying glass

BCSC alleges insurance firm’s founders engaged in $47-million fraud

The founders of FS Financial Strategies allegedly deceived investors in the company of its financial condition

Businessman looking forward with binoculars cloudy background and graphs, charts around

Regulators’ attention to mutual funds persists

The CSA is focused on introducing greater investor-protection rules while planning to eliminate some of the unnecessary rules and requirements mutual funds face

Casual person using tablet to analyse financial dashboard

CSA reminds investors to look out for ETF Facts

Distribution of disclosure documents for ETFs begins in December

SEC returned US$794 million to harmed investors in fiscal 2018

Report highlights enforcement division’s activities

Stock market background design

North American markets break three-day winning streak

Canadian dollar slips lower

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

MFDA fines Investia $100,000

HollisWealth, acquired by Investia in 2017, implemented a remote branch supervision structure without first receiving MFDA approval

  • November 2, 2018 November 5, 2018
  • 17:15
northern lights near yellowknife

IIROC secures greater enforcement authority in Canada’s territories

Nunavut, the Northwest Territories and Yukon join seven provinces in strengthening investor protection

Block letters spelling fraud, with magnifying glass

BCSC permanently bans convicted fraudster from capital markets

Ponzi scheme using promissory notes cause investor losses of more than $1.5 million

  • By: IE Staff
  • November 2, 2018 November 2, 2018
  • 10:45
Many hands choosing cryptocurrency coins from box labeled ICO

OSC introduces new cryptoasset educational tools

According to the commission’s research, 5% of adults in Ontario already own cryptoassets

Toronto skyline from center island

IIROC hearing to consider settlement with Raymond James

Proposed settlement concern the dealer’s oversight of fee-based accounts

Gavel and judgement on desk

Revised MFDA sanction guidelines take effect Nov. 15

The revised guidelines adopt a principles-based approach to meting out disciplinary penalties

OSFI releases final version of capital adequacy guideline for banks

Updated requirements will take effect in the first quarter of 2019.

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

FAQ explains OSC tribunal procedures

Questions and answers provide an overview of procedures for commission enforcement proceedings

Report calls for further progress in the implementation of Basel III standards

Limited progress has been made on implementing standards whose deadlines have passed

buildings and architecture of montreal, quebec

AMF proposes bail-in regime for Desjardins

The proposed regime is similar to the one that was adopted for the major Canadian banks

Judge gavel, scales of justice and law books in court

Court orders hearing to decide issue of Ian Thow penalty

The BCSC had applied to renew a $250,000 penalty before the limitation period expires

Judge gavel, scales of justice and law books in court

Court dismisses malicious prosecution lawsuit against AMF

Quebec regulator’s investigation and complaint covered by its statutory immunity

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

MFDA bans former Investia rep

Ontario advisor referred clients to invest in syndicated mortgages off book

Stock exchange board with abstract background

SEC’s market data fee rulings credit negative for U.S. cash equities’ exchange operators

There is an increased possibility that legal challenges will be successful, Moody’s report says