Proposed framework allows flexibility for jurisdictions to determine the most appropriate risk assessment to adopt for their markets
Board decides not to engage in an identification of global systemically important insurers in 2018
The advisor used an active trading strategy to produce more than $1 million in commissions from trading for three senior clients over five years
One of the men was permanently banned by the OSC in 2008
The program offers mutual fund dealers assessments of their cybersecurity practices and advice on improving their defences
IIROC will publish one- and three-month BA rates on its website beginning in January 2019
Publication aims to support the work of the FSB and others to address financial sector cybersecurity
The Autorité des marchés financiers will continue overseeing all stakeholders in the Quebec financial sector
With the constitutional challenge resolved, there’s still lots to be done in creating a national regulator
Creation of internal group reflects shift in approach toward securities regulation by OSC and the provincial government
The majority of respondents said the proposed fines for minor rule violations were too low and should be raised
The founders of FS Financial Strategies allegedly deceived investors in the company of its financial condition
The CSA is focused on introducing greater investor-protection rules while planning to eliminate some of the unnecessary rules and requirements mutual funds face
Distribution of disclosure documents for ETFs begins in December
Report highlights enforcement division’s activities
Canadian dollar slips lower
HollisWealth, acquired by Investia in 2017, implemented a remote branch supervision structure without first receiving MFDA approval
Nunavut, the Northwest Territories and Yukon join seven provinces in strengthening investor protection
Ponzi scheme using promissory notes cause investor losses of more than $1.5 million
According to the commission’s research, 5% of adults in Ontario already own cryptoassets
Proposed settlement concern the dealer’s oversight of fee-based accounts
The revised guidelines adopt a principles-based approach to meting out disciplinary penalties
Updated requirements will take effect in the first quarter of 2019.
Questions and answers provide an overview of procedures for commission enforcement proceedings