Robo-advice growing slowly in Europe
No need for immediate regulatory action, regulators say
- By: James Langton
- September 5, 2018 November 13, 2019
- 12:15
Latest news in From the Regulators
AMF offers guidance to help companies disclose exposure to modern slavery
Modern slavery affects tens of millions of people around the world, and Canadian companies may be directly or indirectly exposed
- By: James Langton
- September 4, 2018 November 13, 2019
- 15:53
OSC fines former Aston Hill CEO $125,000
Eric Tremblay admitted he misled OSC staff investigating insider trading involving Amaya Gaming Group
- By: James Langton
- August 31, 2018 November 13, 2019
- 16:00
IIROC sets date for annual meeting
Members will gather to elect directors
- August 30, 2018 November 13, 2019
- 15:45
FAIR Canada seeks clarity on client-focused reforms
How will firms be able to address conflicts of interest in four common scenarios?
- By: James Langton
- August 30, 2018 November 13, 2019
- 14:00
MFDA fines Sentinel Financial
A 2016 compliance exam identified inadequate due diligence with regard to exempt market products
- By: James Langton
- August 29, 2018 November 13, 2019
- 16:12
IIROC fees rising as demands on regulators grow
The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan
- By: James Langton
- August 29, 2018 November 13, 2019
- 14:00
Canadian sentenced to U.S. prison for promoting tax fraud scheme
Canadian citizens filed US$10 million in false tax refund claims with the IRS
- By: James Langton
- August 29, 2018 November 13, 2019
- 12:09
FINRA announces governor elections
Board members bring valuable perspectives, CEO says
- By: James Langton
- August 28, 2018 November 13, 2019
- 17:10
NASAA details cryptocurrency crackdown
More than 200 active investigations by state and provincial securities regulators
- By: James Langton
- August 28, 2018 November 13, 2019
- 15:15
Alberta man charged with fraud and theft
Investment scheme fraudulently raised $200,000 from six investors, ASC alleges
- By: James Langton
- August 27, 2018 November 13, 2019
- 15:00
CFTC wins trial against virtual currency fraudster
Court orders defendants to pay more than US$1.1 million in penalties and restitution
- By: James Langton
- August 24, 2018 November 13, 2019
- 14:30
New chairman for OSC’s Investor Advisory Panel
Neil Gross has served on the Ontario Securities Commission’s IAP since November 2017
- By: James Langton
- August 24, 2018 November 13, 2019
- 12:25
OSC highlights common compliance deficiencies
Some registered firms are not establishing an adequate compliance system
- By: James Langton
- August 23, 2018 November 13, 2019
- 15:00
CSA issues guidance on “bail-in debt” regime
A pair of notices offer direction for investment dealers and fund managers
- By: James Langton
- August 23, 2018 November 13, 2019
- 11:30
Make ban on DSC mutual funds retroactive to consultation launch: IAP
Panel expresses concern that DSC products may be sold more aggressively in advance of the prohibition being fully implemented
- By: James Langton
- August 21, 2018 November 13, 2019
- 14:15
OSFI formally designates Canadian D-SIBs
Federal banking regulator sets minimum loss absorbing capacity requirement for Canada’s six large banks
- By: James Langton
- August 21, 2018 November 13, 2019
- 12:45
OSC announces roundtable agenda on derivatives oversight proposals
Panels will examined the CSA’s proposed registration and business conduct regimes
- By: James Langton
- August 21, 2018 November 13, 2019
- 12:00
AML watchdog eases compliance obligations
FINTRAC updates beneficial ownership requirements guidance
- By: James Langton
- August 20, 2018 November 13, 2019
- 15:45
FSB launches review of legal entity identifiers implementation progress
The board invites feedback from stakeholders
- By: James Langton
- August 16, 2018 November 13, 2019
- 12:45
IOSCO calls for comments on governance of OTC derivatives data
Global policymakers seek to further improve derivatives data reporting
- By: James Langton
- August 16, 2018 November 13, 2019
- 12:30
ASC panel denies order against short seller Cohodes
Commission staff hadn’t proved there was an urgent need for the interim order
- By: Dan Healing
- August 16, 2018 November 13, 2019
- 09:25
OSC doubles fine against former First Leaside CFO
The commission set aside the decisions of an IIROC hearing panel and substituted its own decisions
- By: James Langton
- August 15, 2018 November 13, 2019
- 17:45