OSC launches task force to lighten regulation
Creation of internal group reflects shift in approach toward securities regulation by OSC and the provincial government
- By: James Langton
- November 8, 2018 November 13, 2019
- 13:35
Latest news in From the Regulators
Investors support proposed IIROC enforcement alternatives, survey finds
The majority of respondents said the proposed fines for minor rule violations were too low and should be raised
- By: Anne-Marie Vettorel
- November 8, 2018 November 13, 2019
- 11:30
BCSC alleges insurance firm’s founders engaged in $47-million fraud
The founders of FS Financial Strategies allegedly deceived investors in the company of its financial condition
- By: James Langton
- November 7, 2018 November 13, 2019
- 10:45
Regulators’ attention to mutual funds persists
The CSA is focused on introducing greater investor-protection rules while planning to eliminate some of the unnecessary rules and requirements mutual funds face
- By: James Langton
- November 6, 2018 November 13, 2019
- 10:00
CSA reminds investors to look out for ETF Facts
Distribution of disclosure documents for ETFs begins in December
- By: James Langton
- November 5, 2018 November 13, 2019
- 14:00
SEC returned US$794 million to harmed investors in fiscal 2018
Report highlights enforcement division’s activities
- By: James Langton
- November 5, 2018 November 13, 2019
- 10:15
North American markets break three-day winning streak
Canadian dollar slips lower
- By: Ross Marowits
- November 2, 2018 November 13, 2019
- 17:30
MFDA fines Investia $100,000
HollisWealth, acquired by Investia in 2017, implemented a remote branch supervision structure without first receiving MFDA approval
- November 2, 2018 November 13, 2019
- 17:15
IIROC secures greater enforcement authority in Canada’s territories
Nunavut, the Northwest Territories and Yukon join seven provinces in strengthening investor protection
- By: James Langton
- November 2, 2018 November 13, 2019
- 15:30
BCSC permanently bans convicted fraudster from capital markets
Ponzi scheme using promissory notes cause investor losses of more than $1.5 million
- By: IE Staff
- November 2, 2018 November 13, 2019
- 10:45
OSC introduces new cryptoasset educational tools
According to the commission’s research, 5% of adults in Ontario already own cryptoassets
- By: James Langton
- November 1, 2018 November 13, 2019
- 12:30
IIROC hearing to consider settlement with Raymond James
Proposed settlement concern the dealer’s oversight of fee-based accounts
- By: James Langton
- October 31, 2018 November 13, 2019
- 14:45
Revised MFDA sanction guidelines take effect Nov. 15
The revised guidelines adopt a principles-based approach to meting out disciplinary penalties
- By: James Langton
- October 31, 2018 November 13, 2019
- 14:30
OSFI releases final version of capital adequacy guideline for banks
Updated requirements will take effect in the first quarter of 2019.
- By: James Langton
- October 30, 2018 November 13, 2019
- 15:33
FAQ explains OSC tribunal procedures
Questions and answers provide an overview of procedures for commission enforcement proceedings
- By: James Langton
- October 30, 2018 November 13, 2019
- 12:20
Report calls for further progress in the implementation of Basel III standards
Limited progress has been made on implementing standards whose deadlines have passed
- By: James Langton
- October 26, 2018 November 13, 2019
- 14:15
AMF proposes bail-in regime for Desjardins
The proposed regime is similar to the one that was adopted for the major Canadian banks
- By: James Langton
- October 26, 2018 November 13, 2019
- 12:30
Court orders hearing to decide issue of Ian Thow penalty
The BCSC had applied to renew a $250,000 penalty before the limitation period expires
- By: James Langton
- October 24, 2018 November 13, 2019
- 12:00
Court dismisses malicious prosecution lawsuit against AMF
Quebec regulator’s investigation and complaint covered by its statutory immunity
- By: James Langton
- October 23, 2018 November 13, 2019
- 16:11
MFDA bans former Investia rep
Ontario advisor referred clients to invest in syndicated mortgages off book
- By: James Langton
- October 23, 2018 November 13, 2019
- 14:49
SEC’s market data fee rulings credit negative for U.S. cash equities’ exchange operators
There is an increased possibility that legal challenges will be successful, Moody’s report says
- By: James Langton
- October 22, 2018 November 13, 2019
- 12:10
SEC launches new strategic fintech hub
The innovation hub replaces a number of SEC working groups
- By: James Langton
- October 19, 2018 November 13, 2019
- 15:00
CSA issues guidance regarding disruption of mail service
Stakeholders should consult with their local regulators
- By: Anne-Marie Vettorel
- October 19, 2018 November 13, 2019
- 14:05
Repeat offender sentenced to jail
Ontario woman guilty of selling fraudulent promissory notes
- By: James Langton
- October 19, 2018 November 13, 2019
- 12:10