More clarity needed on client-focused reforms: IIAC
Industry group calls for joint CSA/SRO committee to receive feedback and guidance
- By: James Langton
- October 19, 2018 November 13, 2019
- 10:30
Latest news in From the Regulators
CSA outlines market disruption co-ordination process
Today’s notice sets out the responsibilities of industry firms and regulators in dealing with a market disruption
- By: James Langton
- October 18, 2018 November 13, 2019
- 11:30
OSC seeks applications for securities proceedings advisory committee
Applicants should have an excellent knowledge of Ontario securities law and significant practice experience in securities litigation
- By: James Langton
- October 17, 2018 November 13, 2019
- 16:15
Basel Committee issues final stress testing principles
Revisions designed to address key weaknesses exposed by the financial crisis
- By: James Langton
- October 17, 2018 November 13, 2019
- 15:10
SEC overturns previous ruling in market data fees case
NYSE Arca and Nadaq failed to prove fees challenged by SIMFA were fair
- By: James Langton
- October 17, 2018 November 13, 2019
- 10:45
Former Winnipeg rep fined $100,000
One client lost $30,000 and another lost $212,000 as a result of advisor’s misconduct
- By: James Langton
- October 16, 2018 November 13, 2019
- 15:30
BCSC adds two calculators to investor education website
Return on investment and investment growth calculators help investors understand key concepts
- By: IE Staff
- October 15, 2018 November 13, 2019
- 17:25
FCA opens a discussion on the impact of climate change and green finance on financial services
Discussion paper seeks input of for key areas
- By: James Langton
- October 15, 2018 November 13, 2019
- 15:45
SEC strategic plan puts retail investors at top
The new plan will guide the U.S. regulator’s work over the next four years
- By: James Langton
- October 12, 2018 November 13, 2019
- 15:45
Passage of Bill 67 strengthens investor protection in Nova Scotia
Nova Scotia joins two other provinces in giving IIROC full enforcement toolkit
- By: James Langton
- October 12, 2018 November 13, 2019
- 11:17
OSC fines eToro $500,000 for trading without registration
The Cyprus-based firm allowed Ontario investors to trade contracts for difference
- By: James Langton
- October 11, 2018 November 13, 2019
- 13:30
Global regulators taking a tougher stance on ESG issues
Business ethics and climate change are the primary focus of increased regulation for the financial sector
- By: James Langton
- October 11, 2018 November 13, 2019
- 11:15
AMF seeks comment on alternative distribution regulations
Proposed framework for the sale of insurance online meant to be flexible
- By: James Langton
- October 10, 2018 November 13, 2019
- 17:30
NASAA cracks down on unregistered offenders
State securities regulators place increased focus on cryptoassets
- By: James Langton
- October 10, 2018 November 13, 2019
- 16:00
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
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