FINRA releases 2019 compliance exam priorities
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization
- January 22, 2019 November 13, 2019
- 14:45
Latest news in From the Regulators
Building confidence in digital assets
Proposed ATS would let retail clients trade digital assets within their existing brokerage accounts
- By: James Langton
- January 22, 2019 November 13, 2019
- 14:20
FSRA to focus on reducing regulatory burden
Ontario’s new insurance regulator releases draft priorities and budget
- By: James Langton
- January 22, 2019 November 13, 2019
- 11:45
A disruptive force
The Ontario government, elected last June, has a policy of deregulation in general, but also is willing to interfere with policy-making directly
- By: James Langton
- January 21, 2019 November 13, 2019
- 00:11
IIROC enforcement activity was flat in 2018
But the total number of decisions rendered by IIROC hearing panels against both firms and advisors increased year-over-year
- By: James Langton
- January 18, 2019 November 13, 2019
- 16:04
NSSC issues warning about HQBroker
Regulators in Ontario, New Brunswick and Hong Kong already have issued their own warnings about the firm
- By: James Langton
- January 18, 2019 November 13, 2019
- 11:56
IOSCO calls for greater ESG disclosure
The new guidance from global regulators comes amid increasing investor demand for ESG disclosure
- By: James Langton
- January 18, 2019 November 13, 2019
- 10:13
BCSC to reimburse $1M to wronged investors
The money comes from selling the property of a former mutual fund salesperson
- By: IE Staff
- January 17, 2019 November 13, 2019
- 14:20
IOSCO aims for improved audit quality
Report recommends a series of best practices to help audit committees ensure high-quality financial audits
- By: James Langton
- January 17, 2019 November 13, 2019
- 13:54
CSA extends comment period on proposed pilot study
TMX Group asked the regulators last week for more time to analyze and provide feedback on the plans
- By: James Langton
- January 17, 2019 November 13, 2019
- 11:51
IIROC releases priorities for 2019
Focus is on enhanced testing, compensation-related conflicts
- By: IE Staff
- January 15, 2019 November 13, 2019
- 15:35
OSC establishes task force to reduce regulatory burden
The regulator will look to scrap outdated rules, streamline disclosure requirements and make operational changes to enhance or speed up its dealings with the industry
- By: James Langton
- January 14, 2019 November 13, 2019
- 13:03
TMX wants more time on proposed trading fee rebate pilot study
Securities regulators in Canada and the U.S. are planning a coordinated study
- By: James Langton
- January 10, 2019 November 13, 2019
- 14:37
Passive funds outperform: Report
EU regulator says fees ate up 25% of retail investors’ returns
- By: James Langton
- January 10, 2019 November 13, 2019
- 12:19
Manitoba regulators introduce financial literacy website
MoneySmartManitoba.ca includes information about investing, budgeting, real estate, insurance and tips on avoiding frauds
- By: James Langton
- January 10, 2019 November 13, 2019
- 11:52
Cryptoassets need oversight: regulator
European Securities and Markets Authority says ICOs leave investors exposed to risk
- By: James Langton
- January 9, 2019 November 13, 2019
- 11:24
European regulators outline fintech best practices
A European Supervisory Authorities report looks at sandboxes and innovation hubs
- By: James Langton
- January 8, 2019 November 13, 2019
- 12:24
Increase to limit on covered bond issuance would benefit all banks: DBRS
OSFI is currently considering whether to increase the limit on covered bonds, which have become an important source of funding for the big banks’ uninsured…
- By: James Langton
- January 7, 2019 November 13, 2019
- 15:23
Two new members join IAP
Ilana Singer and Daniel Brunet begin two-year terms on Investor Advisory Panel
- By: James Langton
- January 7, 2019 November 13, 2019
- 13:50
Ontario court rules against hedge fund
The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International
- By: James Langton
- January 7, 2019 November 13, 2019
- 13:15
OSC, TMX Group spar over regulation of clearing agencies
TMX Group argues that domestic clearing firms are subject to prescriptive requirements while some foreign players are granted exemptions from these requirements
- By: James Langton
- January 3, 2019 November 13, 2019
- 13:37
New lawyers join OSC committee
SPAC provides advice to the commission on administrative tribunal hearings
- By: James Langton
- January 3, 2019 November 13, 2019
- 11:20
CRA announces prescribed interest rates
Other tax changes now in effect include passive income changes for small businesses and new carbon pricing system
- By: IE Staff, The Canadian Press
- January 2, 2019 November 13, 2019
- 15:57
ASC lists top risks to investors
Regulator warns of heightened threats regarding emerging industries, such as cannabis and cryptocurrencies
- By: James Langton
- January 2, 2019 November 13, 2019
- 14:01