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
Latest news in From the Regulators
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
Senior clients need more from financial firms: report
OBSI finds seniors complain the most about mutual funds, disclosure issues
- By: James Langton
- July 18, 2019 November 13, 2019
- 13:16
IOSCO pushes back on criticism
The group has been critiqued on its approach to investment fund regulation
- By: James Langton
- July 18, 2019 November 13, 2019
- 10:58
Second man charged in alleged Ponzi scheme
Toronto police announced the arrest of a second man on Wednesday
- By: James Langton
- July 17, 2019 November 13, 2019
- 16:21
Investor cost disclosure under the microscope
ESMA is seeking feedback on disclosure requirements
- By: James Langton
- July 17, 2019 November 13, 2019
- 12:51
FINRA’s fight against mutual fund overcharging leads to investor restitution
Settlements generate US$89 million in restitution
- By: James Langton
- July 17, 2019 November 13, 2019
- 10:47
Brokerage account hacks enabled market manipulation, U.S. authorities say
Defendant pleads guilty to his role in the scheme
- By: James Langton
- July 16, 2019 November 13, 2019
- 16:10
BCSC alleges woman violated trading ban
Woman was permanently banned and ordered to pay $2.24 million in 2017
- By: James Langton
- July 16, 2019 November 13, 2019
- 13:55