IFIC offers alternative to the CSA’s proposed ban on DSC mutual funds
PMAC wants CSA to leave pooled funds out of client-focused reforms
- By: IE Staff
- December 14, 2018 November 13, 2019
- 16:00
Latest news in From the Regulators
OSFI proposes reforms to large exposure risk management for banks
Reforms would limit banks’ exposures to a single counterparty, or closely connected groups of firms
- By: James Langton
- December 14, 2018 November 13, 2019
- 14:44
IIROC consults on proposed changes to trading rules
Proposals aim to address concerns that too many small orders are being traded in the dark without price improvement
- By: James Langton
- December 14, 2018 November 13, 2019
- 12:00
CFTC seeks input on cryptocurrency Ether
The U.S. regulator wants to understand the similarities and differences between Ether and Bitcoin
- By: James Langton
- December 12, 2018 November 13, 2019
- 12:00
OSFI raises domestic stability buffer for banks to 1.75%
Banks should be setting aside capital so that they can weather a deterioration in economic conditions
- By: James Langton
- December 12, 2018 November 13, 2019
- 10:45
Basel Committee publishes updated Basel III bank disclosure requirements
Revised Pillar 3 framework aims to promote discipline on bank management by bolstering disclosure to investors
- By: James Langton
- December 11, 2018 November 13, 2019
- 11:00
FINRA compliance report focuses on suitability
Inadequate due diligence on products a “common contributor” to suitability failings
- By: James Langton
- December 7, 2018 November 13, 2019
- 15:45
Banks substantially more resilient
FSB group for the Americas concludes meeting in the Cayman Islands
- By: James Langton
- December 7, 2018 November 13, 2019
- 12:30
PEI strengthens investor protection with passage of Bill 47
Fourth province gives full enforcement toolkit to IIROC
- By: James Langton
- December 7, 2018 November 13, 2019
- 11:00
BCSC raising securities market fees
Higher fees secure funding needed for effective market oversight and investor protection, commission says
- By: James Langton
- December 6, 2018 November 13, 2019
- 15:05
Alberta appeal court dismisses appeal on finding of illegal trading
Court reduces sanctions imposed by ASC panel
- By: James Langton
- December 6, 2018 November 13, 2019
- 14:15
OSC seeks applications for fintech advisor committee
FAC advises OSC LaunchPad staff on fintech developments and challenges faced by start-ups
- By: James Langton
- December 6, 2018 November 13, 2019
- 12:00
IIROC suspends and fines Calgary advisor
Richardson GMP advisor recommended an increasingly high-risk investment strategy
- By: IE Staff
- December 6, 2018 November 13, 2019
- 10:30
OSC seeks to permanently ban convicted fraudster
Michelle Dunk has breached previous bans
- By: James Langton
- December 6, 2018 November 13, 2019
- 08:00
Report reveals range of cybersecurity practices in the banking sector
Information sharing by banks and regulators varies widely across jurisdictions
- By: James Langton
- December 5, 2018 November 13, 2019
- 06:00
IIAC seeks relief from “unintended consequences” of U.S. tax rule changes
Canadian firms could face onerous withholding and backup reporting requirements
- By: James Langton
- December 3, 2018 November 13, 2019
- 15:00
CLHIA urges Quebec to ban speculative trading in life insurance
Seniors are an ideal target for groups specialized in life settlements
- By: James Langton
- November 30, 2018 November 13, 2019
- 14:35
Canada, U.S. and Mexico establish financial regulatory forum
The new group will examine cross-border regulatory issues in the financial sector
- By: James Langton
- November 30, 2018 November 13, 2019
- 13:45
MFDA fines 12 former WFG Securities reps
Panel orders fines totalling $865,000
- By: James Langton
- November 30, 2018 November 13, 2019
- 13:35
MFDA approves directors at AGM
Two former regulators join board of directors
- By: James Langton
- November 29, 2018 November 13, 2019
- 15:55
BCSC finding more deficiencies: report
Compliance reviews are increasingly leading to enforcement action
- By: James Langton
- November 29, 2018 November 13, 2019
- 15:40
OSC bans former mutual fund rep
The MFDA had previously banned the rep in 2012
- By: James Langton
- November 29, 2018 November 13, 2019
- 14:35
Exempt market continues to grow in Ontario: report
Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market
- By: James Langton
- November 29, 2018 November 13, 2019
- 14:00
Issuers may be misleading investors: CSA
Companies are making unsubstantiated claims about their businesses and their profit prospects with an eye to boosting stock prices, regulators warn
- By: James Langton
- November 29, 2018 November 13, 2019
- 13:30