BCSC raising securities market fees
Higher fees secure funding needed for effective market oversight and investor protection, commission says
- By: James Langton
- December 6, 2018 November 13, 2019
- 15:05
Latest news in From the Regulators
Alberta appeal court dismisses appeal on finding of illegal trading
Court reduces sanctions imposed by ASC panel
- By: James Langton
- December 6, 2018 November 13, 2019
- 14:15
OSC seeks applications for fintech advisor committee
FAC advises OSC LaunchPad staff on fintech developments and challenges faced by start-ups
- By: James Langton
- December 6, 2018 November 13, 2019
- 12:00
IIROC suspends and fines Calgary advisor
Richardson GMP advisor recommended an increasingly high-risk investment strategy
- By: IE Staff
- December 6, 2018 November 13, 2019
- 10:30
OSC seeks to permanently ban convicted fraudster
Michelle Dunk has breached previous bans
- By: James Langton
- December 6, 2018 November 13, 2019
- 08:00
Report reveals range of cybersecurity practices in the banking sector
Information sharing by banks and regulators varies widely across jurisdictions
- By: James Langton
- December 5, 2018 November 13, 2019
- 06:00
IIAC seeks relief from “unintended consequences” of U.S. tax rule changes
Canadian firms could face onerous withholding and backup reporting requirements
- By: James Langton
- December 3, 2018 November 13, 2019
- 15:00
CLHIA urges Quebec to ban speculative trading in life insurance
Seniors are an ideal target for groups specialized in life settlements
- By: James Langton
- November 30, 2018 November 13, 2019
- 14:35
Canada, U.S. and Mexico establish financial regulatory forum
The new group will examine cross-border regulatory issues in the financial sector
- By: James Langton
- November 30, 2018 November 13, 2019
- 13:45
MFDA fines 12 former WFG Securities reps
Panel orders fines totalling $865,000
- By: James Langton
- November 30, 2018 November 13, 2019
- 13:35
MFDA approves directors at AGM
Two former regulators join board of directors
- By: James Langton
- November 29, 2018 November 13, 2019
- 15:55
BCSC finding more deficiencies: report
Compliance reviews are increasingly leading to enforcement action
- By: James Langton
- November 29, 2018 November 13, 2019
- 15:40
OSC bans former mutual fund rep
The MFDA had previously banned the rep in 2012
- By: James Langton
- November 29, 2018 November 13, 2019
- 14:35
Exempt market continues to grow in Ontario: report
Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market
- By: James Langton
- November 29, 2018 November 13, 2019
- 14:00
Issuers may be misleading investors: CSA
Companies are making unsubstantiated claims about their businesses and their profit prospects with an eye to boosting stock prices, regulators warn
- By: James Langton
- November 29, 2018 November 13, 2019
- 13:30
OSC study highlights benefits of investor education
More knowledgeable investors are more likely to plan ahead, feel more in control of their finances and report lower stress about finances
- By: James Langton
- November 28, 2018 November 13, 2019
- 11:30
Materials and energy sectors drag down TSX
U.S. stock markets post gains
- By: Ross Marowits
- November 27, 2018 November 13, 2019
- 17:15
OSC bans convicted fraudster
Daniel Reeve is serving a 14-year sentence for fraud
- By: James Langton
- November 27, 2018 November 13, 2019
- 15:15
BCSC investigates alleged scheme run by “consultants”
The commission has temporarily prohibited the group from trading securities of 11 companies listed on the Canadian Securities Exchange
- By: IE Staff
- November 27, 2018 November 13, 2019
- 14:15
Questrade Wealth Management to pay $2.9 million to OSC
The commission has reprimanded the portfolio manager for failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
- By: James Langton
- November 27, 2018 November 13, 2019
- 13:30
OSFI issues revised guideline for insurance companies’ securitization exposures
Updated guideline for federally regulated insurers takes effect Jan.1, 2019
- By: James Langton
- November 26, 2018 November 13, 2019
- 15:45
MFDA bans former mutual fund rep
The Calgary-based advisor misappropriated money from a vulnerable, unsophisticated investor who was also his sister-in-law
- By: James Langton
- November 26, 2018 November 13, 2019
- 12:00
FSB names new chairman
Randal Quarles to succeed Mark Carney
- By: James Langton
- November 26, 2018 November 13, 2019
- 10:44
Vancouver man sentenced to 36 months in prison for fraud: BCSC
Fraudster preyed upon people’s lack of knowledge about investments
- By: James Langton
- November 23, 2018 November 13, 2019
- 16:00
Basel III reforms a work in progress: report
Challenges remain in ensuring regulators adopt Basel III standards in a timely way
- By: James Langton
- November 23, 2018 November 13, 2019
- 15:00