IIROC issues guidance on arrangements between dealers and portfolio managers
Each party has different roles and responsibilities, and different regulatory obligations, to the client
- By: James Langton
- December 20, 2018 November 13, 2019
- 17:10
Latest news in From the Regulators
IIROC seeks candidates for proficiency committee
The committee gives advice on proficiency policy and operations, helps develop educational standards and reviews course materials and proposals
- By: James Langton
- December 20, 2018 November 13, 2019
- 16:45
OSFI risk exposure reforms positive for Canadian banks
The proposed rules will improve the accuracy of measuring banks’ exposures and lead to better decision making
- By: James Langton
- December 20, 2018 November 13, 2019
- 11:00
SEC to conduct trading fee pilot study
CSA to co-ordinate with U.S. regulator
- By: James Langton
- December 19, 2018 July 2, 2020
- 16:15
Quebec tribunal overturns IIROC decision
An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration
- By: James Langton
- December 19, 2018 November 13, 2019
- 16:10
Securities regulators flag Affiliated Trade Group
Firm using fake document to solicit investments, OSC says
- By: James Langton
- December 19, 2018 November 13, 2019
- 13:20
OBSI updates terms of reference
Major reforms to the dispute resolution service’s mandate require action from regulators
- By: James Langton
- December 19, 2018 November 13, 2019
- 11:45
Vancouver man facing more securities charges: BCSC
The man was arrested in November after he failed to appear at his trial
- By: James Langton
- December 18, 2018 November 13, 2019
- 16:00
OSC approves $30-million settlement with Katanga Mining for improper disclosure
Current and former directors and officers will collectively pay millions of dollars more in penalties
- By: Ian Bickis
- December 18, 2018 November 13, 2019
- 15:20
IIROC schedules business continuity test for October
Planned BCP test to coincide with test in the U.S.
- By: James Langton
- December 18, 2018 November 13, 2019
- 14:30
CSA to study impact of trading fees, rebates
Proposed pilot would examine the effects of a prohibition of rebate payments by Canadian marketplaces
- By: James Langton
- December 18, 2018 November 13, 2019
- 13:00
Raymond James fined $125,000 for overcharging clients
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
- By: James Langton
- December 17, 2018 November 13, 2019
- 17:20
IIAC calls for greater transparency on market data fees
Request follows recent a SEC decision which found that exchanges did not provide sufficient justification for their marketplace fees
- By: James Langton
- December 17, 2018 November 13, 2019
- 11:20
OSC names new registrant advisory committee members
The RAC serves as a forum to discuss compliance and registration issues
- By: James Langton
- December 16, 2018 November 13, 2019
- 12:30
David Cheop named CEO of the Manitoba Securities Commission
Cheop was deputy director and secretary of the commission from 1986 to 1998
- By: James Langton
- December 14, 2018 November 13, 2019
- 16:15
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
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