Scheme to game audit regulators results in jail time
Advance notice of audit inspections was meant to help audit firm improve its performance
- By: James Langton
- August 9, 2019 November 13, 2019
- 15:37
Latest news in From the Regulators
SEC seeks to modernize disclosure rules
Proposals aim to improve the readability of disclosure documents
- By: James Langton
- August 9, 2019 November 13, 2019
- 10:27
Sales practices, suitability remain concerns for OSC
Referral cases more than doubled from 2018 to 2019
- By: James Langton
- August 8, 2019 November 13, 2019
- 12:40
So-called ‘smart’ investors no safer from scammers, FCA says
Study finds 42% of pension holders are potentially vulnerable to investment scams
- By: James Langton
- August 8, 2019 November 13, 2019
- 10:22
Crypto crime on the rise, NASAA reports
Regulators have launched 130 enforcement investigations so far this year
- By: James Langton
- August 7, 2019 November 13, 2019
- 11:19
Digital token seller Kik Interactive fires back at SEC in U.S. court filing
Company claims its tokens are a currency not covered by securities laws
- By: The Canadian Press
- August 7, 2019 November 13, 2019
- 10:15
IIAC resists federal data protection proposals
The IIAC argues the proposals will “impose a significant burden on both firms and clients that will not afford additional investor protection”
- By: James Langton
- August 6, 2019 November 13, 2019
- 17:09
IIROC provides guidance on new client ID requirements
The rule changes come into effect Sept. 6
- By: James Langton
- August 6, 2019 November 13, 2019
- 13:45
IFIC asks for end to GST/HST on mutual funds in RRSPs
The institute made the case in a submission to the House of Commons finance committee
- By: IE Staff
- August 1, 2019 November 13, 2019
- 17:33
Another former rep banned for falsified line of credit application
The MFDA banned a different rep for the same offence last week
- By: IE Staff
- July 30, 2019 November 13, 2019
- 14:38
IFIC voices support for CSA’s systems renewal program
But the industry trade group is calling on the regulator to keep fees in check
- By: IE Staff
- July 29, 2019 November 13, 2019
- 15:25
IIAC comments on IIROC’s proposed disciplinary tools
The SRO announced plans in April to introduce a minor contravention program
- By: IE Staff
- July 29, 2019 November 13, 2019
- 13:33
IIROC fines, suspends rep for trading misconduct
Fines, disgorgement and costs total $105,000
- By: IE Staff
- July 25, 2019 November 13, 2019
- 13:17
Former rep permanently banned for ‘deceitful’ conduct
Man used falsified documents to apply for a personal line of credit
- By: IE Staff
- July 25, 2019 November 13, 2019
- 11:45
Cryptoasset firm settles with OSC
CoinLaunch Corp. to pay $42,000 in penalties and disgorgements
- By: IE Staff
- July 25, 2019 November 13, 2019
- 10:49
Facebook settles allegations it misled investors
Social media giant agrees to pay US$100 million
- By: IE Staff, The Associated Press
- July 24, 2019 November 13, 2019
- 14:21
Alberta man previously banned by ASC gets jail time
The ASC imposed a one-year ban on the man in 2015
- By: IE Staff
- July 24, 2019 November 13, 2019
- 14:14
Former rep who inherited client’s Air Miles permanently banned
Settlement agreement also includes a $40,000 fine, $5,000 in costs
- By: IE Staff
- July 24, 2019 November 13, 2019
- 12:18
Court dismisses challenge of deal that helps U.S. nab tax cheats in Canada
A Federal Court judge found FATCA doesn't violate the Charter of Rights and Freedoms
- By: The Canadian Press
- July 22, 2019 November 13, 2019
- 16:46
B.C. firm admits to misusing ‘soft dollars’ in settlement with regulator
Genus Capital Management will pay back $1.67 million to clients
- By: James Langton
- July 19, 2019 November 13, 2019
- 16:52
MFDA consults on CE accreditation process
Regulator may allow member firms to accredit CE activity of their own reps
- By: James Langton
- July 19, 2019 November 13, 2019
- 16:40
Members wanted for FSRA pension advisory committees
Committees will advise the regulator on three pension-related areas
- By: IE Staff
- July 19, 2019 November 13, 2019
- 15:45
OSC reaches $2 million settlement with Caldwell over best execution failures
A panel said the firm failed to put client interests ahead of its own
- By: James Langton
- July 19, 2019 November 13, 2019
- 15:19
FSB delays reforms to securities financing rules
International policy group developed measures to boost financial sector resilience
- By: James Langton
- July 19, 2019 November 13, 2019
- 10:34
OSFI revising liquidity, capital rules for banks
The rules were last updated in 2012
- By: James Langton
- July 18, 2019 November 13, 2019
- 17:31