MFDA warns of email scam targeting dealers
A dealer has reported a fake message impersonating the SRO
- By: James Langton
- November 12, 2020 November 12, 2020
- 17:12
Latest news in From the Regulators
OSC to leave fees alone for now
Fees will be reviewed after markets stabilize and the outcomes of the Capital Markets Modernization Taskforce are known
- By: James Langton
- November 12, 2020 November 12, 2020
- 17:00
Fraudsman gets 10 years in penalty box
Prison time, forfeiture and restitution ordered against man who scammed ex-NHLers
- By: James Langton
- November 12, 2020 December 15, 2020
- 14:18
RBC, TD remain on “too big to fail” list
Several large U.S. banks see buffer requirements decline
- By: James Langton
- November 12, 2020 November 12, 2020
- 14:09
IIROC to hold first virtual policy conference
SRO to host online event Nov. 27, second session on Dec. 17
- By: James Langton
- November 10, 2020 November 10, 2020
- 11:51
DB pension solvency continues climb back: FSRA
Funding positions gained ground in the third quarter but remain lower than pre-pandemic levels
- By: James Langton
- November 9, 2020 November 9, 2020
- 17:20
Bank of Canada further curtailing emergency measures
The central bank is easing supports amid improving market conditions
- By: James Langton
- November 9, 2020 November 9, 2020
- 17:07
FSB warns of rising systemic risks due to outsourcing
Growing reliance on third-party providers represents a potential vulnerability
- By: James Langton
- November 9, 2020 November 9, 2020
- 13:08
B.C.’s anti-money laundering effort flawed: C.D. Howe
The land registry will likely prove toothless without changes, a report warns
- By: James Langton
- November 9, 2020 November 9, 2020
- 12:55
Investment club fraudsman gets jail time
Scheme uncovered by BCSC investigation ends in conviction, prison sentence
- By: James Langton
- November 6, 2020 November 6, 2020
- 17:19
With investors still owed millions, BCSC freezes fraudster’s savings
A hearing panel rejects bid to lift order against registered accounts
- By: James Langton
- November 6, 2020 November 6, 2020
- 13:33
ESMA takes on market data costs
Proposed guidance targets efforts to increase data access
- By: James Langton
- November 6, 2020 November 6, 2020
- 12:51
OSC seeks investor champions for IAP
The Investor Advisory Panel will require new members over the coming year
- By: James Langton
- November 6, 2020 November 6, 2020
- 11:34
Fund manager had returns but lacked registration, OSC alleges
The regulator has charged a fund manager with registration violations
- By: James Langton
- November 5, 2020 November 5, 2020
- 16:51
Ontario to allow credit unions to sell insurance in branches, on websites
The PC government introduced a new regulatory framework for credit unions in its 2020 budget
- By: Rudy Mezzetta
- November 5, 2020 November 5, 2020
- 16:25
Fed signals readiness to do more for economy as virus rages
The Fed's latest policy meeting coincided with an anxiety-ridden election week
- By: Martin Crutsinger, The Associated Press
- November 5, 2020 November 5, 2020
- 15:10
FCA bans sex offenders from financial industry
Three men convicted of sex-related offences in 2018 ruled unfit by regulator
- By: James Langton
- November 5, 2020 November 5, 2020
- 12:59
SEC rewards tip on foreign mischief
Regulator rewards two more whistleblowers
- By: James Langton
- November 5, 2020 November 5, 2020
- 12:40
Octagon Capital dismissed by IIROC
The SRO suspended the firm in 2015
- By: James Langton
- November 5, 2020 November 5, 2020
- 11:51
Alberta aims to cut red tape in financial sector
The changes are intended to facilitate industry innovation
- By: James Langton
- November 3, 2020 November 3, 2020
- 17:42
O’Toole calls for pause on CRA audits for businesses struggling due to Covid-19
The Liberals' latest relief provisions have been met with mixed reactions from business groups
- By: The Canadian Press
- November 3, 2020 November 3, 2020
- 15:16
Internal tipster gets big payday
SEC pays US$28 million to whistleblower who first reported internally
- By: James Langton
- November 3, 2020 November 3, 2020
- 13:29
Basel III may be delayed, but it still helped banks deal with Covid-19
While post-crisis reforms aren't final, new standards allowed for capital flexibility
- By: James Langton
- November 3, 2020 November 3, 2020
- 12:55
Court upholds BCSC decision favouring public access
Evidence released by the regulator is being used in a potential class action
- By: James Langton
- November 3, 2020 November 3, 2020
- 11:49
OSC vice-chair’s position extended to 2022
Tim Moseley appointed to two-year term as vice-chair
- By: James Langton
- November 2, 2020 November 2, 2020
- 14:46