OSFI focuses on industry risks in new strategic plan
The federal regulator's plan identifies a variety of financial and non-financial risks
- By: James Langton
- April 25, 2019 November 13, 2019
- 13:26
Latest news in From the Regulators
OSC updating oversight of investor protection funds
Proposed changes include a requirement to report information security breaches
- By: James Langton
- April 25, 2019 November 13, 2019
- 12:50
IIROC to adopt new disciplinary tools
SRO seeks comment on minor contravention program and early resolution offers. The programs would contribute to enhanced efficiencies and faster resolutions
- By: James Langton
- April 25, 2019 November 13, 2019
- 11:00
FINRA launches unit to focus on industry innovation
The Office of Financial Innovation will lead the SRO's handling of fintech-related issues
- By: James Langton
- April 24, 2019 November 13, 2019
- 12:42
NASAA warns investors about cross-selling risks
An alert says the sales tactic can take advantage of clients
- By: James Langton
- April 24, 2019 November 13, 2019
- 12:18
Amid a weaker loonie and strong M&A activity, cross-border investment surged in 2018, StatsCan reports
Canadian direct investment abroad jumped by 10.4% to $1.3 trillion in 2018
- By: James Langton
- April 24, 2019 November 13, 2019
- 10:40
OSFI rejigs executive lineup
Ben Gully will succeed Carolyn Rogers as assistant superintendent, regulation sector
- By: James Langton
- April 23, 2019 November 13, 2019
- 16:54
Former rep sanctioned for suitability failures
The former broker admitted to recommending unsuitable high-risk investments to multiple clients
- By: James Langton
- April 23, 2019 November 13, 2019
- 15:02
FCA seeks to boost consumer protection
The regulator intends to publish a paper this fall with detailed reform proposals
- By: James Langton
- April 23, 2019 November 13, 2019
- 11:17
CFTC shuts down alleged forex fraud
The regulator has filed a civil enforcement action in federal court against several Florida-based firms
- By: James Langton
- April 22, 2019 November 13, 2019
- 14:36
Canadian, UK regulators to share sandbox
Regulators for several provinces announced an agreement with the FCA on Friday
- By: James Langton
- April 18, 2019 November 13, 2019
- 14:58
Reforms to boost market oversight set for adoption
The changes are to be phased in over two years, starting later this year
- By: James Langton
- April 18, 2019 November 13, 2019
- 14:05
IIROC gets thumbs-up from CSA oversight review
Report flagged only three "low priority" issues
- By: James Langton
- April 18, 2019 November 13, 2019
- 12:29
OSC sets agenda for red tape reduction consultation
Two open discussion sessions are scheduled for May
- By: James Langton
- April 18, 2019 November 13, 2019
- 10:55
Central bankers demand action on climate change
Their recommendations address environmental risks that also represent financial risks
- By: James Langton
- April 17, 2019 November 13, 2019
- 13:50
U.S. bank regulators to relax ‘living will’ requirements
Smaller firms would only have to submit resolution plans every three years
- By: James Langton
- April 17, 2019 November 13, 2019
- 11:47
TD Waterhouse accused of disclosure violations
IIROC claims firm failed to provide clients with position cost information in quarterly account statements
- By: James Langton
- April 16, 2019 November 13, 2019
- 14:57
U.S. authorities fine UniCredit US$1.3 billion over alleged sanctions violations
The bank allegedly processed more 2,000 payments that violated multiple sanctions
- By: James Langton
- April 15, 2019 November 13, 2019
- 14:38
Mandating cybersecurity standards is positive for financials, Moody’s says
Last week, European regulators called for tougher laws
- By: James Langton
- April 15, 2019 November 13, 2019
- 11:28
Former fund dealer facing fraud charge
The MFDA permanently banned the dealer in 2016
- By: James Langton
- April 15, 2019 November 13, 2019
- 10:51
MFDA fines, permanently bans former rep for falsifying client initials
Rep’s refusal to cooperate with investigation was deemed an aggravating factor
- By: IE Staff
- April 15, 2019 November 13, 2019
- 09:44
TSX invites innovators to play in its sandbox
The sandbox is intended to be a testing ground for the development of new policy initiatives
- By: James Langton
- April 12, 2019 November 13, 2019
- 17:00
GE paying US$1.5 billion over subprime loans
The U.S. DoJ alleged GE misrepresented the quality of the loans
- By: James Langton
- April 12, 2019 November 13, 2019
- 14:55
Industry applauds Ontario’s pledge to regulate planner, advisor titles
It remains to be seen what credentials the titles would require
- By: James Langton
- April 12, 2019 November 13, 2019
- 11:46
Ontario seeks to regulate planner, advisor titles while boosting market confidence
Proposed framework would require planners and advisors to have an "appropriate credential"
- By: James Langton
- April 11, 2019 November 13, 2019
- 16:56