Toronto advisor fined for making unsuitable recommendations
Rep recommended and implemented extensive margin use for two retired clients
- May 9, 2019 November 13, 2019
- 14:00
Latest news in From the Regulators
CSA proposals aim to give companies faster access to capital
Amendments are aimed at reducing the regulatory burden for issuers that wish to conduct ATM distributions
- By: James Langton
- May 9, 2019 November 13, 2019
- 12:15
OSC to consider settlement with NextBlock, Tapscott
Firm alleged to have misled investors with a slide presentation
- By: James Langton
- May 9, 2019 November 13, 2019
- 11:09
IIROC promises smarter market surveillance
New system to enhance SRO's ability to detect possible market abuse
- By: James Langton
- May 9, 2019 November 13, 2019
- 09:00
How the OSC is approaching regulatory burden
A special advisor to the commission shares how the OSC might shift its approach
- By: Rudy Mezzetta
- May 8, 2019 November 13, 2019
- 09:23
CFTC pays whistleblower who tried to warn internally first
The agency has now awarded more than US$85 million to whistleblowers
- By: James Langton
- May 7, 2019 November 13, 2019
- 13:18
Basel III reform implementation remains a work in progress
The Basel Committee has released its latest status report
- By: James Langton
- May 7, 2019 November 13, 2019
- 12:01
OSC upholds firm’s ASC suspension
The firm was also suspended in Alberta, B.C., Manitoba and Saskatchewan
- By: James Langton
- May 3, 2019 November 13, 2019
- 15:45
U.S. insurers purportedly lost hundreds of millions to investment scheme
Two former execs at a private equity firm have been charged
- By: James Langton
- May 3, 2019 November 13, 2019
- 12:40
FCA tackles demographic divide
Regulator to look at consumers' shifting financial needs in the years ahead
- By: James Langton
- May 2, 2019 November 13, 2019
- 15:42
CSA proposes systems reboot, cost cut
The regulator estimated that total system fees would decline by about 7% under the new model
- By: James Langton
- May 2, 2019 November 13, 2019
- 14:07
BCSC names new commissioners
Four appointees were announced on Wednesday
- By: James Langton
- May 1, 2019 November 13, 2019
- 15:02
OSC names new commissioner
Ray Kindiak has been appointed to a two-year term
- By: James Langton
- May 1, 2019 November 13, 2019
- 12:30
MFDA boosts enforcement in 2018
The SRO commenced a record 136 disciplinary proceedings last year
- By: James Langton
- May 1, 2019 November 13, 2019
- 12:18
U.S. court orders banks to provide information on Finns with offshore accounts
The request comes from Finnish tax authorities
- By: James Langton
- May 1, 2019 November 13, 2019
- 11:26
FCA reviewing market for financial advice
The deadline for initial feedback is June 3
- By: James Langton
- May 1, 2019 November 13, 2019
- 11:13
‘Shadow bank’ illegally served crypto exchanges, U.S. authorities allege
One accused has been arrested, while another remains at large
- By: James Langton
- April 30, 2019 November 13, 2019
- 17:28
Former fund rep and two others duped investors
BCSC hearing panel finds investors were defrauded of more than $1.1 million
- By: James Langton
- April 30, 2019 November 13, 2019
- 15:16
NASAA conference to examine new NAFTA’s impact on the financial sector
The new U.S.-Mexico-Canada (USMCA) trade deal has yet to be ratified
- By: James Langton
- April 30, 2019 November 13, 2019
- 13:12
Canadian regulators are players in GFIN sandbox
Firms selected for cross-border innovation pilot will be announced late in the second quarter
- By: James Langton
- April 29, 2019 November 13, 2019
- 14:30
Former S&P analyst convicted in insider trading case
The analyst received inside information about Sherwin-Williams Co.’s planned acquisition of Valspar Corp. in 2016
- By: James Langton
- April 29, 2019 November 13, 2019
- 11:50
BCSC joins OSC on oversight of Canadian Securities Exchange
The CSE is home to a large number of B.C.-based, early-stage companies
- By: IE Staff
- April 26, 2019 November 13, 2019
- 13:30
AMF says Bombardier exec compensation plan falls within the law
Quebec regulator urges company to reconsider maintaining its automatic stock disposition plan
- By: The Canadian Press
- April 26, 2019 November 13, 2019
- 10:30