Academic insights may help investor protection, but tough rules are essential: report
IOSCO cautions that assumptions about investor behaviour may not reflect actual behaviour
- By: James Langton
- April 2, 2019 November 13, 2019
- 11:04
Latest news in From the Regulators
IIROC fines, suspends former rep for suitability failures
Client losses were between 52% and 59% of account value
- By: James Langton
- April 1, 2019 November 13, 2019
- 16:17
Former rep fined $250,000 by MFDA for false loan applications
The rep also received a lifetime ban
- By: IE Staff
- March 29, 2019 November 13, 2019
- 11:27
MFDA seeks free info flows from OBSI
A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI
- By: James Langton
- March 28, 2019 November 13, 2019
- 17:22
OSC settles with firm over unregistered mortgage investments
The firm has agreed to a $100,000 fine, along with other conditions
- By: James Langton
- March 28, 2019 November 13, 2019
- 15:18
Retail reforms, burden reduction top OSC agenda
The regulator says it will continue to work with the CSA on deferred sales charges and trailers to discount brokers
- By: James Langton
- March 28, 2019 November 13, 2019
- 14:20
AMF’s Morisset renewed as head of CSA
The OSC's Jensen will chair the CSA's Policy Coordination Committee for another two years
- By: James Langton
- March 28, 2019 November 13, 2019
- 12:11
European regulators fine Fitch over conflicts
The conflicts involved Fitch shareholders sitting on the boards of companies being rated
- By: James Langton
- March 28, 2019 November 13, 2019
- 10:00
Goldman Sachs fined by FCA
The firm agreed to settle the case, paying £34.3 million
- By: James Langton
- March 28, 2019 November 13, 2019
- 09:44
OSC seeks to ban former fund rep who admitted fraud
The former rep pleaded guilty to five counts of fraud over $5,000 in the Ontario Court of Justice last April
- By: James Langton
- March 27, 2019 November 13, 2019
- 09:21
AMF seeks candidates for derivatives committee
Applications to join the committee are due by April 26
- By: James Langton
- March 26, 2019 November 13, 2019
- 17:23
Shadow banks grow, but risks modest, suggests Bank of Canada
In spite of the sector's growth, its share of bank assets and total financial assets has declined
- By: James Langton
- March 26, 2019 November 13, 2019
- 12:31
SEC pays US$50 million to whistleblowing pair
One tipster received US$37 million, while the other got US$13 million
- By: James Langton
- March 26, 2019 November 13, 2019
- 11:45
Click to sign: IIROC OKs e-signatures
Guidance is effective immediately
- By: James Langton
- March 26, 2019 November 13, 2019
- 11:10
OSC charges real estate firm with registration, prospectus violations
A hearing has been scheduled for March 28 to consider a possible settlement with the firm
- By: James Langton
- March 25, 2019 November 13, 2019
- 13:38
The rise of indexing, robos and crypto top IOSCO agenda
The umbrella group of global regulators outlined its plans for the coming year on Monday
- By: James Langton
- March 25, 2019 November 13, 2019
- 12:22
OSC warns about unregistered trading platform
Investors in Ontario are being actively solicited
- By: James Langton
- March 22, 2019 November 13, 2019
- 15:11
New IIROC report identifies challenges
Project is a "first answer to what will be a series of questions" about regulatory barriers
- By: Katie Keir
- March 22, 2019 November 13, 2019
- 11:10
Former U.S. hedge fund manager sentenced in hacking scheme
The scheme involved stealing press releases containing corporate earnings
- By: James Langton
- March 22, 2019 November 13, 2019
- 10:43
OSFI’s Rogers to head Basel Committee secretariat
Carolyn Rogers begins her three-year term as secretary general on August 14
- By: James Langton
- March 22, 2019 November 13, 2019
- 10:09
OSC hearing on Bitcoin fund set for April
3iQ Corp seeks to overturn a decision denying approval of the fund
- By: James Langton
- March 21, 2019 November 13, 2019
- 14:58
MFDA seeks changes to its investigative powers
The proposals would harmonize rules with IIROC
- By: James Langton
- March 21, 2019 November 13, 2019
- 12:13
Global banks making headway on Basel III
New report finds large global banks are continuing to build up their capital and liquidity positions
- By: James Langton
- March 20, 2019 November 13, 2019
- 11:59
CPAB names new chair, vice chair
Benita Warmbold is the first woman to head the audit regulator's board
- By: James Langton
- March 19, 2019 November 13, 2019
- 12:25
FCA fines UBS £27.6 million for reporting failures
The banking giant was fined for failings involving 135.8 million transaction reports
- By: James Langton
- March 19, 2019 November 13, 2019
- 12:04