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CSA targets four areas to ease regulatory burden on investment funds

Regulators will propose eliminating redundant disclosure and making greater use of online technology to communicate with investors

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CSA seeks comment on post-trade transparency requirements for government debt

IIROC’s role as information processor expanded

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MFDA to hold penalty hearing for former WFG Securities reps

Twelve reps at a branch in Mississauga, Ont. falsified KYC information in order to obtain investment loans

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MFDA seeks comment on proposed sanction guidelines

Proposals reflect trends toward a principles-based approach to sanctioning

U.K. Cryptoassets Taskforce meets for the first time

The taskforce represents a central part of the U.K. government’s efforts to understand and engage with new technologies in the financial services sector

Many hands choosing cryptocurrency coins from box labeled ICO

Regulators launch co-ordinated probe of cryptocurrency fraud

More than 40 provincial and state regulators are involved with Operation Cryptosweep

  • May 22, 2018 May 22, 2018
  • 12:00
Bitcoin Electronic Crypto Currency Exchange Concept Illustration

OSC warns investors about unregistered cryptocurrency groups

Regulator singles out five firms in investor alert

BCSC issues cryptocurrency alert

Investors advised to exercise caution

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Court overturns advisor’s acquittal

Ontario advisor violated securities rules by borrowing funds from several insurance clients

  • May 17, 2018 May 17, 2018
  • 11:00
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AMF seeks candidates for its technology advisory committee

The committee provides the AMF with input on technological innovation in the financial sector

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Proprietary product sales a cause for concern: Canoe CEO

Darcy Hulston posits that regulators may eventually crack down on the practice of advisors selling products their firms manufacture

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BCSC panel sanctions man and partnership for fraud

Ping Bai and RBP Consulting received $1.53 million from investors who were told their funds would be invested in foreign exchange trading

  • May 14, 2018 May 14, 2018
  • 15:48
Supreme Court of Canada

CCMR delayed again

Depending on an upcoming Supreme Court of Canada ruling, the participating governments will update the timing of the new regulator’s launch

Ottawa Canal at night

Canada to host global tax conference next week

Government officials will discuss best practices in tax administration and efforts against tax evasion with global counterparts

Downtown Calgary with River skyline`

Kari Horn appointed ASC vice chairwoman

Former general counsel a depth and breadth of knowledge of securities laws and regulatory matters to her new role

gavel with $100-bill background

NBF fined $110,000 for supervision failure

Advisor did not comply with the dealer’s own guidelines for leveraged ETFs

Stacked white books on rules and regulations

IIROC provided numerous exemptions from its own rules in 2017

Regulator reports that it received 324 proficiency exemption applications last year

FCAA warns investors of “reload scheme”

Saskatchewan regulator issues cease-trade order

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Big Rock Labs founder fined $100,000 for manipulative trading

Trading in multiple accounts created a misleading appearance of market activity

Michael Piwowar stepping down from SEC

Piwowar briefly served as acting SEC chairman

OSC requests applications for continuous disclosure advisory committee

The deadline for applications is May 28

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FSB consults on using compensation data to prevent financial industry misconduct

The recommendations seek to assist regulators’ oversight of the effectiveness of compensation tools in addressing misconduct risk

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ASC gives green light to no-contest settlements

Enforcement tool enables regulators to resolve cases more quickly

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IIROC reports decline in enforcement activity for 2017

The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having…

Judge gavel, scales of justice and law books in court

MFDA fines, bans former mutual fund rep

David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”