OSC study highlights benefits of investor education
More knowledgeable investors are more likely to plan ahead, feel more in control of their finances and report lower stress about finances
- By: James Langton
- November 28, 2018 November 13, 2019
- 11:30
Latest news in From the Regulators
Materials and energy sectors drag down TSX
U.S. stock markets post gains
- By: Ross Marowits
- November 27, 2018 November 13, 2019
- 17:15
OSC bans convicted fraudster
Daniel Reeve is serving a 14-year sentence for fraud
- By: James Langton
- November 27, 2018 November 13, 2019
- 15:15
BCSC investigates alleged scheme run by “consultants”
The commission has temporarily prohibited the group from trading securities of 11 companies listed on the Canadian Securities Exchange
- By: IE Staff
- November 27, 2018 November 13, 2019
- 14:15
Questrade Wealth Management to pay $2.9 million to OSC
The commission has reprimanded the portfolio manager for failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
- By: James Langton
- November 27, 2018 November 13, 2019
- 13:30
OSFI issues revised guideline for insurance companies’ securitization exposures
Updated guideline for federally regulated insurers takes effect Jan.1, 2019
- By: James Langton
- November 26, 2018 November 13, 2019
- 15:45
MFDA bans former mutual fund rep
The Calgary-based advisor misappropriated money from a vulnerable, unsophisticated investor who was also his sister-in-law
- By: James Langton
- November 26, 2018 November 13, 2019
- 12:00
FSB names new chairman
Randal Quarles to succeed Mark Carney
- By: James Langton
- November 26, 2018 November 13, 2019
- 10:44
Vancouver man sentenced to 36 months in prison for fraud: BCSC
Fraudster preyed upon people’s lack of knowledge about investments
- By: James Langton
- November 23, 2018 November 13, 2019
- 16:00
Basel III reforms a work in progress: report
Challenges remain in ensuring regulators adopt Basel III standards in a timely way
- By: James Langton
- November 23, 2018 November 13, 2019
- 15:00
FSB report on compensation reporting addresses misconduct risk
Recommendations designed to support supervisors’ improved monitoring of compensation decisions taken by major financial firms in relation to misconduct risk
- By: James Langton
- November 23, 2018 November 13, 2019
- 14:00
CDCC proposes amendments to modernize risk management
Proposals out for comment until Dec. 24
- By: James Langton
- November 23, 2018 November 13, 2019
- 11:00
OSC to consider settlement with Questrade Wealth Management
Portfolio manager accused of failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
- By: James Langton
- November 23, 2018 November 13, 2019
- 06:00
OSFI publishes revisions to leverage ratio disclosure requirements guideline
Revised guideline reflects the latest changes to the banks' capital adequacy regime
- By: James Langton
- November 22, 2018 November 13, 2019
- 10:45
IIROC bans former Regina advisor
The former CIBC World Markets rep sold clients’s DSC mutual funds early
- By: James Langton
- November 22, 2018 November 13, 2019
- 06:00
MFDA finds support for expanding cost reporting
The self-regulatory organization has published a summary of submissions received in response to its discussion paper
- By: James Langton
- November 21, 2018 November 13, 2019
- 14:45
OSC broadens investor education to new Canadians
Materials now available in 22 languages
- By: James Langton
- November 21, 2018 November 13, 2019
- 13:45
ASC announces whistleblower program
The new program allows whistleblowers to safely report securities-related misconduct
- By: IE Staff
- November 20, 2018 November 13, 2019
- 16:00
Effects of G20 reforms on infrastructure finance secondary to other factors
The quantity of infrastructure finance has grown in recent years, report finds
- By: James Langton
- November 20, 2018 November 13, 2019
- 11:50
IIROC fines Raymond James
The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings
- By: James Langton
- November 20, 2018 November 13, 2019
- 09:00
IOSCO members found mostly compliant with principles for supervising commodity derivatives markets
The revised principles were adopted in 2010
- By: James Langton
- November 19, 2018 November 13, 2019
- 15:30
FSB reports find progress on OTC derivatives reforms
Reforms are achieving their goals of promoting central clearing
- By: James Langton
- November 19, 2018 November 13, 2019
- 15:00
FSB releases 2018 list of global systemically important banks
Royal Bank is Canada’s only bank on the list of G-SIBs
- By: James Langton
- November 16, 2018 November 13, 2019
- 14:40
FSB report finds progress on reducing the “to-big-to-fail” problem
Board consults on financial resources to support CCP resolution
- By: James Langton
- November 16, 2018 November 13, 2019
- 12:00
Ontario to review advisor proficiency and oversight
New government voices its support for the CMRA and the planned new provincial regulator for insurance, pensions, and deposits
- By: James Langton
- November 15, 2018 November 13, 2019
- 16:10