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
Latest news in From the Regulators
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
Momentum building for climate-related financial disclosures
Task Force publishes first status report
- By: James Langton
- September 26, 2018 November 13, 2019
- 12:00
OSC calls for applications to Investor Advisor Panel
Members will be selected to represent a broad range of relevant experience, skills, knowledge and perspectives
- By: James Langton
- September 26, 2018 November 13, 2019
- 11:30
IIROC announces board members for 2018-2019
Paul Allison of Raymond James elected chairman
- By: IE Staff
- September 26, 2018 November 13, 2019
- 11:00
SEC awards almost US$4 million to overseas whistleblower
The anonymous tipster furnished extensive assistance which helped the U.S. regulator bring a successful enforcement action in the case
- By: James Langton
- September 25, 2018 November 13, 2019
- 17:30
IIROC fines CIBCWM and B.C. branch manager for failing to supervise advisor
The advisor later admitted to making unsuitable recommendations to clients
- By: James Langton
- September 25, 2018 November 13, 2019
- 16:15
Australia cracks down on initial coin offerings
ASIC has prevented five proposed ICOs from raising capital without appropriate investor protections
- By: James Langton
- September 20, 2018 November 13, 2019
- 15:00
BCSC to extend use of electronic filing
Amendments would require investment funds to file annual reports electronically
- By: James Langton
- September 20, 2018 November 13, 2019
- 14:50
OSFI publishes revised corporate governance guidance
Document sets out expectations for boards of directors of federally regulated financial institutions
- By: James Langton
- September 19, 2018 November 13, 2019
- 10:30
NASAA warns investors to watch for scams in Florence’s wake
Scam artists may linger long after the storm has passed
- By: James Langton
- September 18, 2018 November 13, 2019
- 15:22
B.C. to restructure Financial Institutions Commission
Making FICOM a Crown agency is intended to strengthen oversight of the financial services sector
- By: James Langton
- September 17, 2018 November 13, 2019
- 15:26
CSA names new secretary general
Laura Belloni succeeds Kim Lachapelle
- September 17, 2018 November 13, 2019
- 12:08
OSFI proposes new guideline for insurers’ asset securitization
The proposed amendments are designed to reflect market developments since 2004
- By: James Langton
- September 17, 2018 November 13, 2019
- 10:15
IFIC proposes four titles for advisors
The mutual fund industry trade group support’s the CSA’s proposed ban on titles that are based on sales activity
- By: James Langton
- September 14, 2018 November 13, 2019
- 15:50
CSA signs deal for new market surveillance system
The new platform, which the CSA says will replace its current system, “will capture a broad array of market and transaction data to improve insight…
- By: James Langton
- September 13, 2018 November 13, 2019
- 12:15
Ontario pushes back on CSA’s proposed DSC ban
The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday
- By: James Langton
- September 13, 2018 November 13, 2019
- 11:21
OSC announces seniors expert advisory committee membership
New members include experts in aging and health, investor advocates and industry personnel
- By: James Langton
- September 12, 2018 November 13, 2019
- 16:34
OSC announces speakers for Dialogue 2018
Global regulators and industry executives will address opportunities and challenges in capital markets
- By: James Langton
- September 12, 2018 November 13, 2019
- 14:45
FINRA report identifies benefits and risks of regtech
Technology may make it easier for securities firms to strengthen their compliance programs
- By: James Langton
- September 10, 2018 November 13, 2019
- 12:50
OSC seeks comment on Nasdaq Canada proposed fee change
The proposed changes aim boost trading volume and enhance market quality
- By: James Langton
- September 7, 2018 November 13, 2019
- 13:45
CSA proposes rule regarding non-GAAP and other financial measures
Proposal would give regulators a stronger tool to take appropriate action against companies misleading investors
- By: James Langton
- September 6, 2018 November 13, 2019
- 14:00
MFDA bans former Scotia Securities rep
A female advisor misappropriated more than $31,000 from her father, who was a client
- By: James Langton
- September 6, 2018 November 13, 2019
- 10:50