IIROC terminates Jacob Securities
Firm had been suspended since 2015
- By: James Langton
- November 15, 2019 November 15, 2019
- 12:03
Latest news in From the Regulators
OSC seeks lawyers to advise on tribunal policy
The Securities Proceedings Advisory Committee provides advice on policy and procedural initiatives
- By: James Langton
- November 15, 2019 November 15, 2019
- 10:54
ASC panel bans, fines Ponzi schemers
An individual and a firm must pay almost $2.75M
- By: James Langton
- November 14, 2019 November 14, 2019
- 17:10
Basel Committee revises banks’ disclosure requirements
Discussion papers address disclosures of market risk and sovereign exposure
- By: James Langton
- November 14, 2019 November 14, 2019
- 15:25
OSFI rebuffs global capital rules for insurers
The standard would impose capital requirements for long-term products that are too high, the office said
- By: James Langton
- November 14, 2019 November 14, 2019
- 13:15
IIROC tackles growing cyber risk with mandatory reporting rule
Firms must report breaches within three days
- By: James Langton
- November 14, 2019 November 14, 2019
- 12:05
FSB cites some post-crisis improvement
Preparations to avoid taxpayer bailouts still need work: report
- By: James Langton
- November 14, 2019 November 14, 2019
- 11:40
BoC steps up defences against liquidity shocks
New facility would provide loans to a financial firm facing exceptional liquidity stress
- By: James Langton
- November 14, 2019 November 14, 2019
- 11:05
What’s next for title reform in Ontario
Details are few, but flexibility is a key theme
- By: Michelle Schriver
- November 13, 2019 November 14, 2019
- 12:50
Fund rep banned for thwarting MFDA investigation
The former rep was being investigated for allegedly liquidating his father's investment accounts
- By: James Langton
- November 13, 2019 November 13, 2019
- 11:49
Bank of Canada official urges public-private sector defence against cyberattacks
New regulations and legislation may be required
- By: David Paddon, The Canadian Press
- November 12, 2019 November 13, 2019
- 16:31
Tougher scrutiny for “risky” syndicated mortgages
Regulator says it's "committed to strengthening" investor protection
- By: James Langton
- November 12, 2019 November 13, 2019
- 16:16
CSA signs fintech cooperation deal with MAS
Deal will allow businesses in Canada and Singapore to access new regulated markets
- By: James Langton
- November 12, 2019 November 13, 2019
- 13:07
Cannabis sector conflicts prompt CSA action
The regulator issued new guidance on Tuesday aimed at enhancing disclosure provided by cannabis companies
- By: James Langton
- November 12, 2019 November 13, 2019
- 11:09
Global bank policymakers shuffle leadership
Appointments made to lead BIS central bank groups
- By: James Langton
- November 11, 2019 November 13, 2019
- 11:25
SEC, AMF seek restitution for ICO investors
Firm and its founders ordered to pay US$6.9 million
- By: James Langton
- November 8, 2019 November 13, 2019
- 15:10
Record settlement in CFTC spoofing case
Tower Research Capital will pay US$67.4 million
- By: James Langton
- November 7, 2019 November 13, 2019
- 16:56
FAIR Canada adds to board
New members bring extensive knowledge of investors rights and consumer advocacy
- By: James Langton
- November 7, 2019 November 13, 2019
- 16:55
Nasdaq sharpens market surveillance
New technology incorporates AI into monitoring systems
- By: James Langton
- November 7, 2019 November 13, 2019
- 10:45
Ontario to review Securities Act for first time in 16 years
Province will create a task force for the review
- By: Rudy Mezzetta
- November 6, 2019 November 13, 2019
- 16:42
U.S. firms to pay back overcharged clients, FINRA says
Firms allegedly charged excess fees on education savings plans
- By: James Langton
- November 6, 2019 November 13, 2019
- 13:32
Enforcement action, sanctions surge in 2019, SEC reports
The increases came in spite of the U.S. federal government shutdown
- By: James Langton
- November 6, 2019 November 13, 2019
- 12:43
SEC seeks to toughen proxy rules
Proposals include stricter rules about proxy solicitation and shareholder proposals
- By: James Langton
- November 5, 2019 November 13, 2019
- 15:59
Bitcoin usage up, Bank of Canada finds
Survey finds most Bitcoin owners are speculators, although more people are using the cryptocurrency for transactions
- By: James Langton
- November 5, 2019 November 13, 2019
- 14:30