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
Latest news in From the Regulators
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
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
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