IIAC says Saskatchewan’s title regulation shouldn’t extend to financial advisors
The association also urged country-wide harmonization of titles
- By: IE Staff
- September 9, 2019 November 13, 2019
- 13:59
Latest news in From the Regulators
FCA puts industry consultation on hold due to Brexit
Consultation on wholesale market data shelved so firms can focus on EU withdrawal
- By: James Langton
- September 9, 2019 November 13, 2019
- 12:34
Cybersecurity shortcomings on the rise among small firms, NASAA finds
Association warns small firms are "low-hanging fruit for cybercriminals"
- By: James Langton
- September 9, 2019 November 13, 2019
- 11:42
Senators call on feds to embrace open banking
Opinion piece says "It’s time for the federal government to act"
- By: James Langton
- September 6, 2019 November 13, 2019
- 16:49
Victims of day trading scheme can claim compensation
Deadline to file a compensation claim is Dec. 6
- By: James Langton
- September 6, 2019 November 13, 2019
- 15:08
Federal Reserve proposes new capital rules for insurers
The proposal accounts for the different risks faced by insurers relative to banks
- By: James Langton
- September 6, 2019 November 13, 2019
- 12:31
FASB seeks to ease the impact of LIBOR’s looming demise
Comments on proposed guidance due Oct. 7
- By: James Langton
- September 6, 2019 November 13, 2019
- 11:37
IIROC proposes changes to in-house trading rules
The proposals are out for comment until Dec. 4
- By: James Langton
- September 5, 2019 November 13, 2019
- 17:27
CSA’s latest burden buster targets BARs
The regulator proposed changes to rules for filing reports detailing significant acquisitions
- By: James Langton
- September 5, 2019 November 13, 2019
- 14:29
Regulators uncover bond fund liquidity risks
ESMA released a new stress-testing framework on Thursday
- By: James Langton
- September 5, 2019 November 13, 2019
- 14:29
U.S. clearing agency settles charges
Options Clearing Corp. settled the case without admitting or denying the regulators' findings
- By: James Langton
- September 5, 2019 November 13, 2019
- 13:04
Bank of Canada holds interest rate as it takes stock of trade war impacts
The announcement came as other central banks around the world have been signalling or taking policy action
- By: The Canadian Press
- September 4, 2019 November 13, 2019
- 12:56
OSFI sets out capital rules for first-time homebuyer mortgages
These mortgages are expected to have different default probabilities relative to traditional mortgages
- By: James Langton
- September 3, 2019 November 13, 2019
- 15:02
IIROC costs head higher as industry evolves
The SRO published its annual report on Tuesday
- By: James Langton
- September 3, 2019 November 13, 2019
- 13:13
Investment funds face new stress testing demands from ESMA
The new guidance takes effect Sept. 30
- By: James Langton
- September 3, 2019 November 13, 2019
- 10:31
Illicit FX trader chats prompt OSC investigation
After reaching settlements with TD and RBC, the OSC put other firms on notice
- By: James Langton
- August 30, 2019 November 13, 2019
- 14:04
The value of cooperating with regulators? Millions
Breaking down how the OSC calculated penalties for TD and RBC
- By: James Langton
- August 30, 2019 November 13, 2019
- 12:36
FINTRAC provides penalty guidance
As of June, the agency must publish penalties and violations
- By: James Langton
- August 29, 2019 November 13, 2019
- 16:50
U.S. authorities charge former CEO in alleged fraud scheme
Former executive allegedly involved in scheme to inflate the value of company's bond portfolio
- By: James Langton
- August 29, 2019 November 13, 2019
- 15:53
Foreign mischief tip produces SEC payout
A tipster was awarded US$1.8 million for reporting misconduct committed overseas
- By: James Langton
- August 29, 2019 November 13, 2019
- 13:54
Cyber risk a top issue among institutions: Survey
OSFI's performance review suggests industry generally pleased with regulator's oversight
- By: James Langton
- August 28, 2019 November 13, 2019
- 16:20
OSC names new fund sector advisory group
The Investment Funds Technical Advisory Committee will focus on technical compliance issues
- By: James Langton
- August 28, 2019 November 13, 2019
- 12:07
IIROC approves automation for opening certain accounts
The new guidance applies to order-execution-only firms
- By: James Langton
- August 28, 2019 November 13, 2019
- 11:38
SEC sanctions audit firm
The firm was fined US$950K for failing to comply with auditor independence rules
- By: James Langton
- August 27, 2019 November 13, 2019
- 13:50
FX traders at TD, RBC shared confidential client info, regulators allege
The OSC will hold hearings on Aug. 30
- By: James Langton
- August 27, 2019 November 13, 2019
- 08:54