IIROC hit firms with nearly $2M in sanctions in 2019
Individuals were sanctioned a similar amount
- By: IE Staff
- May 11, 2020 May 11, 2020
- 14:48
Latest news in From the Regulators
Rep who allegedly borrowed from clients banned by MFDA
The former rep, who was banned for his failure to cooperate with an investigation, was also fined $75,000
- By: IE Staff
- May 8, 2020 May 8, 2020
- 15:12
IIROC bans former advisor for 5 years for trades based on undisclosed info
Enforcement also included penalties and costs totalling $72,500
- By: IE Staff
- May 7, 2020 May 7, 2020
- 16:37
Complaint-handling shouldn’t suffer due to Covid-19
FCA pushes firms to maintain complaint resolution standards
- By: James Langton
- May 1, 2020 May 1, 2020
- 16:31
AMF now oversees mortgage brokers
The transfer of oversight took effect May 1
- By: James Langton
- May 1, 2020 May 1, 2020
- 15:23
CSA gives issuers relief on AGM disclosure
Companies have until Dec. 31 to file executive compensation disclosure, meet shareholder requests
- By: James Langton
- May 1, 2020 May 1, 2020
- 14:58
Outlook cautious despite positive market signs
Investors’ optimism has contrasted with economic uncertainty
- By: Michelle Schriver
- May 1, 2020 May 1, 2020
- 14:58
MX consults on investigative powers
Proposals aim to ensure the investigative process is fair, transparent and efficient
- By: James Langton
- April 30, 2020 April 30, 2020
- 15:29
U.S. sanctions Israeli bank for offshore tax evasion
Bank Hapoalim to pay US$874 million under deferred prosecution agreement
- By: James Langton
- April 30, 2020 April 30, 2020
- 14:22
OSC hits pause on priorities
The regulator scraps its usual policy agenda consultation amid Covid-19
- By: James Langton
- April 30, 2020 April 30, 2020
- 12:09
MFDA panel bans rep, but sets modest fine
A hearing panel lacked the evidence to determine the severity of the misconduct
- By: James Langton
- April 30, 2020 April 29, 2020
- 09:00
CRA publishes updated FATCA, CRS guidance
The information-sharing deals are part of a global effort to combat offshore tax evasion
- By: Rudy Mezzetta
- April 29, 2020 April 29, 2020
- 16:09
Global policymakers to host hackathon
Competition will award cash prizes to winners in October
- By: James Langton
- April 29, 2020 April 29, 2020
- 13:44
Short-selling bans ineffective, ill-advised, research finds
Review of academic literature indicates that bans are counter-productive
- By: James Langton
- April 29, 2020 April 29, 2020
- 12:06
Regulatory task force to combat pandemic scams
State and provincial regulators aim to snuff out online Covid-19 schemes
- By: James Langton
- April 28, 2020 April 28, 2020
- 16:15
After internal reporting fails, tip to SEC pays off
SEC awards more than US$18 million in latest whistleblower case
- By: James Langton
- April 28, 2020 April 28, 2020
- 15:27
Firms strong-arming companies that need equity: FCA
U.K. regulator warns financial firms against tied selling to troubled companies
- By: James Langton
- April 28, 2020 April 28, 2020
- 14:18
Small U.S. firms grappling with cybersecurity issues: NASAA
State regulators' reviews of smaller advisory firms find persistent shortcomings in online security
- By: James Langton
- April 28, 2020 April 28, 2020
- 12:03
FSRA details licensing, CE extension for life agents
The extension applies to licences that expire between March 15 and June 30
- By: James Langton
- April 27, 2020 April 27, 2020
- 16:38
Canada’s fund regulation, taxation falling short for investors: Morningstar
Research points to inadequate conflicts regulation, among other shortcomings
- By: James Langton
- April 27, 2020 April 27, 2020
- 14:55
IIROC warns about risky ETFs in choppy markets
The SRO highlighted leveraged and inverse ETFs
- By: James Langton
- April 27, 2020 May 5, 2020
- 11:57
OSC prolongs halt to in-person hearings
The regulator has extended the ban indefinitely
- By: James Langton
- April 27, 2020 April 27, 2020
- 11:19
IIROC fields dozens of relief requests
The SRO is offering temporary relief to firms facing Covid-19 hardship
- By: James Langton
- April 24, 2020 April 24, 2020
- 16:22
SEC sets up Covid-19 surveillance group
The group is being chaired by the SEC's chief economist
- By: James Langton
- April 24, 2020 April 24, 2020
- 15:52
Laurentian Bank fined for inadequate trading supervision
Firm must pay $250,000 fine and costs
- By: IE Staff
- April 24, 2020 April 24, 2020
- 14:30