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
Latest news in From the Regulators
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
Canadian, UK regulators to share sandbox
Regulators for several provinces announced an agreement with the FCA on Friday
- By: James Langton
- April 18, 2019 November 13, 2019
- 14:58
Reforms to boost market oversight set for adoption
The changes are to be phased in over two years, starting later this year
- By: James Langton
- April 18, 2019 November 13, 2019
- 14:05
IIROC gets thumbs-up from CSA oversight review
Report flagged only three "low priority" issues
- By: James Langton
- April 18, 2019 November 13, 2019
- 12:29
OSC sets agenda for red tape reduction consultation
Two open discussion sessions are scheduled for May
- By: James Langton
- April 18, 2019 November 13, 2019
- 10:55
Central bankers demand action on climate change
Their recommendations address environmental risks that also represent financial risks
- By: James Langton
- April 17, 2019 November 13, 2019
- 13:50
U.S. bank regulators to relax ‘living will’ requirements
Smaller firms would only have to submit resolution plans every three years
- By: James Langton
- April 17, 2019 November 13, 2019
- 11:47
TD Waterhouse accused of disclosure violations
IIROC claims firm failed to provide clients with position cost information in quarterly account statements
- By: James Langton
- April 16, 2019 November 13, 2019
- 14:57
U.S. authorities fine UniCredit US$1.3 billion over alleged sanctions violations
The bank allegedly processed more 2,000 payments that violated multiple sanctions
- By: James Langton
- April 15, 2019 November 13, 2019
- 14:38
Mandating cybersecurity standards is positive for financials, Moody’s says
Last week, European regulators called for tougher laws
- By: James Langton
- April 15, 2019 November 13, 2019
- 11:28
Former fund dealer facing fraud charge
The MFDA permanently banned the dealer in 2016
- By: James Langton
- April 15, 2019 November 13, 2019
- 10:51