CSA highlights shortcomings with cannabis industry disclosure
Many companies did not provide sufficient disclosure about the risks related to their U.S. operations
- By: James Langton
- October 10, 2018 November 13, 2019
- 13:00
Latest news in From the Regulators
Cryptoassets pose no risk to global financial stability at this time
Policy-makers urged to monitor the speed of market developments
- By: James Langton
- October 10, 2018 November 13, 2019
- 11:50
OSFI seeks input on revisions to interest rate risk guideline
Interest rate risk can affect the safety and soundness of financial institutions
- By: James Langton
- October 5, 2018 November 13, 2019
- 15:00
OSC hearing will consider allegations of unregistered trading in CFDs
Commission alleges eToro opened accounts for investors in Ontario to trade CFDs based on cryptocurrencies and stocks
- October 5, 2018 November 13, 2019
- 14:04
Regulators using a wider range of enforcement tools: report
U.K. Financial Conduct Authority to increasingly focus on enforcement action against individuals
- By: James Langton
- October 5, 2018 November 13, 2019
- 13:30
Omega ATS sanctioned for dissemination of inaccurate information
$500,000 penalty a strong deterrent, OSC panel says, and the firm has spent substantially more to upgrade its systems
- By: James Langton
- October 5, 2018 November 13, 2019
- 11:50
FCAC’s new supervision framework now in effect
New enforcement division will improve agency’s ability to protect consumers
- October 5, 2018 November 13, 2019
- 09:35
CSA streamlines framework for alternative mutual funds
Amendments rename commodity pools, and permit the funds to use leverage, both directly and indirectly
- By: James Langton
- October 4, 2018 November 13, 2019
- 15:00
Investors not acting on CRM2 fee disclosure reports
A BCSC study finds Investors might be learning, but they don’t always seem to know what to do about it
- By: James Langton
- October 3, 2018 November 13, 2019
- 17:24
Audit firms coming up short: regulator
CPAB reports big jump in the number audits with significant deficiencies over last year, calls for improved consistency
- By: James Langton
- October 3, 2018 November 13, 2019
- 11:00
Scotiabank to pay US$800,000 penalty for spoofing precious metals trades: CFTC
The bank’s penalty was substantially reduced in recognition of its self-reporting and co-operation
- By: James Langton
- October 2, 2018 November 13, 2019
- 10:30
FINRA to consolidate examination and risk monitoring programs
The regulator expects the new structure to increase compliance efficiency and effectiveness
- By: James Langton
- October 1, 2018 November 13, 2019
- 15:50
FINRA streamlines examination process for candidates entering U.S. securities Industry
Regulator launches SIE exam
- By: James Langton
- October 1, 2018 November 13, 2019
- 10:15
Credit reporting act aims to provide clarity and protection for N.B. consumers
The legislation sets out rules and restriction in areas such as contract cancellation and charging advance fees to consumers
- By: James Langton
- October 1, 2018 November 13, 2019
- 10:00
FSCO issues guideline on treating consumers fairly
New guideline applies to four Ontario-regulated sectors
- By: James Langton
- October 1, 2018 November 13, 2019
- 07:00
Ontario advisor sentenced to six months in jail
Court orders Daniel Tiffin to pay restitution to clients who purchased promissory notes
- By: James Langton
- September 28, 2018 November 13, 2019
- 15:00
OSC calls for new members for RAC
The committee serves as a forum to discuss issues and challenges faced by dealers and fund managers
- September 28, 2018 November 13, 2019
- 14:30
ESMA to renew restrictions on CFDs for a further three months
A significant investor protection concern continues to exist
- By: James Langton
- September 28, 2018 November 13, 2019
- 14:10
Insurance regulators release final guidance on fair treatment of customers
Document outlines key principles that regulators expect insurers and intermediaries to engrain into their daily practices
- By: James Langton
- September 27, 2018 November 13, 2019
- 17:00
Prospect of gender parity remains distant
218 of the 648 companies reviewed still don’t have single woman on their board
- By: James Langton
- September 27, 2018 November 13, 2019
- 12:35
Progress made in addressing financial data gaps: report
There has been progress in shadow banking monitoring and reporting data on global systemically important banks
- By: James Langton
- September 27, 2018 November 13, 2019
- 10:00
NASAA elects millennial president
Vermont’s Michael Pieciak succeeds Joseph Borg
- September 26, 2018 November 13, 2019
- 17:15
OSC seeks permanent ban against former advisor sentenced for fraud
Daniel Reeve was found guilty of defrauding victims of $10 million through several Ponzi schemes
- By: James Langton
- September 26, 2018 November 13, 2019
- 17:00
ASC reveals policy conference agenda, speakers
The second-annual ASC Connect conference will take place Oct. 9
- By: James Langton
- September 26, 2018 November 13, 2019
- 16:25