OSFI plans policy restart for fall
Federal financial regulator to consult on content and pace of policy plans
- By: James Langton
- July 13, 2020 July 13, 2020
- 16:23
Latest news in From the Regulators
Crypto app sanctioned for straying into swap trading
SEC and CTFC settle charges against app developer
- By: James Langton
- July 13, 2020 July 13, 2020
- 13:02
SEC seeks to cut fund manager reporting burden
Proposal would boost reporting threshold from US$100 million to US$3.5 billion
- July 10, 2020 July 10, 2020
- 17:11
FAIR Canada applauds Soliman report recommendations for OBSI
Ontario's capital markets task force recommends binding authority, higher compensation limits
- By: James Langton
- July 10, 2020 July 10, 2020
- 15:35
Open for business? Sure. DSC monkey business? No, thanks
Investors, industry pan the OSC's DSC preservation proposals
- By: James Langton
- July 10, 2020 July 10, 2020
- 15:11
More work needed to meet LIBOR deadline
Report from FSB, Basel Committee sets out recommendations for speeding transition
- By: James Langton
- July 9, 2020 July 9, 2020
- 15:57
FINRA wants heads up on firms’ crypto activities
The SRO calls on dealers to disclose any involvement with digital assets
- By: James Langton
- July 9, 2020 July 9, 2020
- 15:55
Ontario capital markets task force proposes big changes
Group suggests a transformation of OSC and SRO governance
- By: Rudy Mezzetta
- July 9, 2020 July 9, 2020
- 14:27
Quebec man pleads guilty to tax evasion charges
The resident of Laval was also fined almost $500,000
- By: IE Staff
- July 8, 2020 July 8, 2020
- 15:02
Wide range of IIROC dealers seek relief
The SRO staff's authority to rule on exemption applications has been extended
- By: James Langton
- July 8, 2020 July 8, 2020
- 12:14
Forex frauds on the rise
NSSC warns about a surge in scams on social media
- By: James Langton
- July 8, 2020 July 8, 2020
- 12:13
Deutsche Bank sanctioned over Epstein dealings
Regulators said the bank failed to detect the former financier's suspicious account activity
- By: James Langton
- July 7, 2020 July 7, 2020
- 17:19
Settlements bolster OSC collections from sanctions
The regulator collected 95% of sanctions in the last fiscal year, boosting its designated fund to $118.4 million
- By: James Langton
- July 6, 2020 July 6, 2020
- 16:09
Title regulation passes in Saskatchewan
The next step is developing rules for who can use "financial planner" and "financial advisor"
- By: Michelle Schriver
- July 6, 2020 July 9, 2020
- 12:44
Richardson GMP sanctioned over supervisory failures
Firm admitted to lapses in oversight involving two reps as well as its options trading system
- By: James Langton
- July 3, 2020 July 3, 2020
- 13:19
The Bank of Canada doesn’t need your account number
Central bank warns about fraudsters posing as employees
- By: James Langton
- July 3, 2020 July 3, 2020
- 11:07
Rep loses registration bid for keeping DUI charge secret
Despite being acquitted, failure to disclose charge thwarts registration
- By: James Langton
- July 2, 2020 November 1, 2021
- 17:15
Continue planning for LIBOR’s demise: FSB
Policy-makers call on industry to continue shift toward new benchmarks by the end of 2021
- By: James Langton
- July 2, 2020 July 2, 2020
- 15:44
CSA provides compliance flexibility
Guidance aims to allow more tailored setups for compliance officers
- By: James Langton
- July 2, 2020 July 2, 2020
- 13:08
Helping out harmed investors
NASAA aids states in developing victim assistance funds
- By: James Langton
- July 2, 2020 July 2, 2020
- 13:06
Fund dealer settles complaints-handling case
Firm has compensated clients, enhanced compliance
- By: James Langton
- July 2, 2020 July 2, 2020
- 10:16
Pilot to study trading-fee rebates scrapped
A court ruling against the SEC has implications for Canada
- By: Greg Dalgetty
- July 2, 2020 July 2, 2020
- 09:38
Court orders probation for trading ban violation
Woman pleaded guilty to violating BCSC prohibition
- By: James Langton
- June 30, 2020 June 30, 2020
- 15:59
Industry applauds, investors lament new “best interest” standards
Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct
- By: James Langton
- June 30, 2020 June 30, 2020
- 15:03
Crypto trading gaining popularity
FCA research finds sharp jump in consumers trading cryptoassets
- By: James Langton
- June 30, 2020 June 30, 2020
- 13:35