Court rejects class action against RBC fund dealer
Case claimed extra compensation for selling in-house funds harmed investors
- By: James Langton
- November 25, 2020 November 25, 2020
- 12:28
Latest news in From the Regulators
Benchmark oversight group embarks on consultation
Paper proposes methodology for CORRA averages, index
- By: James Langton
- November 24, 2020 November 24, 2020
- 17:06
PI Financial purchase in 2018 financed with fake collateral, IIROC alleges
Two former executives face a hearing next year
- By: James Langton
- November 24, 2020 November 24, 2020
- 15:58
Gig workers could be paid in stock under SEC proposals
The regulator proposes to allow companies to pay up to 15% of annual pay in securities
- By: James Langton
- November 24, 2020 November 24, 2020
- 15:21
JP Morgan sanctioned for internal control lapses
Wall Street giant fined by OCC for conflict, risk management failures
- By: James Langton
- November 24, 2020 November 24, 2020
- 14:53
IIROC seeks nominees for OBSI board
The SRO called for applications by the end of the year
- By: James Langton
- November 24, 2020 November 24, 2020
- 12:04
IOSCO to target conduct, operational, reporting risks arising from Covid-19
An array of pandemic issues has been added to the global regulatory agenda
- By: James Langton
- November 23, 2020 November 23, 2020
- 17:31
Global warming threatens the financial system too: FSB
Climate-related risks pose hazard to financial stability, report warns
- By: James Langton
- November 23, 2020 November 23, 2020
- 13:43
Getting ghosted by the markets
ESMA research finds that more than 4% of liquidity is fleeting
- By: James Langton
- November 20, 2020 November 20, 2020
- 16:04
Pandemic points to money market vulnerabilities: IOSCO
Flight to safety, spike in cash needs drove liquidity crunch in certain funds
- By: James Langton
- November 20, 2020 November 20, 2020
- 14:27
Are you smarter than a day trader?
Proposed exemption would allow non-accredited investors to self-certify their sophistication
- By: James Langton
- November 20, 2020 November 20, 2020
- 13:02
FCAA warns about crypto miners
Saskatchewan watchdog says unregistered crypto firms are soliciting investors
- By: James Langton
- November 20, 2020 November 20, 2020
- 11:54
Hearing for failed PACE Securities execs set for 2021
IIROC has set date for disciplinary hearing
- By: James Langton
- November 20, 2020 November 20, 2020
- 11:47
ASC bans convicted fraudsman
Regulatory panel called the conduct "particularly odious"
- By: James Langton
- November 19, 2020 November 19, 2020
- 16:28
Ending RRIF withdrawal rules would cost $1B, PBO says
The Liberals shifted the marker this year, dropping the minimum for each senior by 25%
- By: The Canadian Press
- November 19, 2020 November 19, 2020
- 15:43
MFDA publishes “best interest” reforms
SRO seeks comment on proposals to adopt client-focused reforms
- By: James Langton
- November 19, 2020 November 19, 2020
- 14:34
Remote working heightens risk of insider trading
IIROC calls for added controls on inside information in remote-work environments
- By: James Langton
- November 19, 2020 November 19, 2020
- 13:00
The client-focused reforms: SRO edition
IIROC publishes its version of the CSA's CFRs, which take effect in 2021
- By: James Langton
- November 18, 2020 November 18, 2020
- 15:12
SEC enforcement drops in the face of Covid-19
The volume of filings against public companies is down, but monetary sanctions are up
- By: James Langton
- November 18, 2020 November 18, 2020
- 12:05
Suspended fund rep faces OSC insider trading allegation
Regulator claims rep traded, tipped inside info about cannabis company's plans
- By: James Langton
- November 17, 2020 November 17, 2020
- 17:30
Closing the Aussie advice gap
ASIC launches a consultation on the short supply of affordable advice
- By: James Langton
- November 17, 2020 November 17, 2020
- 15:04
Give mortgage borrowers a break, FCA says
U.K. regulator has issued guidance that calls for six-month payment deferrals
- By: James Langton
- November 17, 2020 November 17, 2020
- 14:59
Persistently naughty firms must set funds aside, FINRA says
SRO targets repeat offenders with new rule requiring restricted deposits
- By: James Langton
- November 17, 2020 November 17, 2020
- 13:10
Tipster trio shares OSC whistleblower payout
Expert analysis helped regulator uncover covert violations
- By: James Langton
- November 17, 2020 November 17, 2020
- 12:45
Assets in DSC funds continue to drop in favour of fee-based accounts
Since 2016, the proportion of mutual funds in fee-based accounts increased by 53%
- By: Michelle Schriver
- November 16, 2020 November 1, 2022
- 17:16