Wells Fargo to pay US$2.1 billion for role in housing bubble
Wells Fargo was one of the last remaining U.S. big banks to settle charges related to its role in the subprime mortgage crisis
- By: Ken Sweet
- August 1, 2018 November 13, 2019
- 15:01
Latest news in From the Regulators
CSA names research team to conduct pilot study of trading fees and rebates
The three academics will determine the design of the pilot study using the U.S SEC’s proposed transaction fee pilot as a basis
- By: IE Staff
- August 1, 2018 November 13, 2019
- 11:30
CSA warns of unauthorized access to database
A former contractor accessed personal and business information electronically on the web-based system registrants use to file information with regulators
- By: IE Staff
- July 27, 2018 November 13, 2019
- 19:20
BCSC secures order for sale of Hawaiian property owned by fraudster
Fraud victims of David Michaels to benefit from proceeds of the sale
- By: IE Staff
- July 27, 2018 November 13, 2019
- 14:10
IIROC proposes changes to discount brokerage requirements
The self-regulatory organization aims to improve its surveillance capability
- By: IE Staff
- July 27, 2018 November 13, 2019
- 12:45
OSC study suggests methods to encourage retirement planning
New report explores the main challenges people experience in creating a retirement plan and offers low-cost interventions to make the process easier
- By: IE Staff
- July 27, 2018 November 13, 2019
- 11:15
CSA confirms its approach to director independence
Stakeholders expressed “general support” during consultation
- July 26, 2018 November 13, 2019
- 11:45
Industry divided on expanding cost reporting
The Investment Industry of Canada’s resistance to expanded investment fund cost reporting runs counter to the views of the Investment Funds Institute of Canada
- By: James Langton
- July 20, 2018 November 13, 2019
- 17:33
Former mutual fund rep agrees to conditions to regain registration
Terms and conditions proposed by settlement agreement provide a means to detect or prevent future misconduct
- By: James Langton
- July 19, 2018 November 13, 2019
- 17:25
CSA streamlines exempt market reporting requirements
New revisions address complaints from institutional investors and foreign investment dealers
- By: James Langton
- July 19, 2018 November 13, 2019
- 13:00
CSA highlights common deficiencies in continuous disclosure
Issuers’ use of non-GAAP financial measures remains an area of focus
- By: James Langton
- July 19, 2018 November 13, 2019
- 12:00
SEC consults on ways to modernize equity compensation arrangements
U.S. regulator adopts rules to enhance transparency and oversight of alternative trading systems
- By: James Langton
- July 18, 2018 November 13, 2019
- 17:10
UK CMA proposes pension investment reforms
The proposed reforms aim to increase competition in investment consultancy and fiduciary management sector
- By: James Langton
- July 18, 2018 November 13, 2019
- 11:40
FSB consults on effects of reforms on global infrastructure finance
The overall amount of infrastructure finance has grown in recent years after a temporary drop during the financial crisis, report finds
- By: James Langton
- July 18, 2018 November 13, 2019
- 10:45
BCSC panel rules on IIROC panel decision
The case against Vancouver advisor Albert Tassone returns to an IIROC hearing panel
- By: James Langton
- July 17, 2018 November 13, 2019
- 17:30
TSX, New York markets finish higher in trade tension lull
Loonie slips
- By: Ian Bickis
- July 17, 2018 November 13, 2019
- 17:20
FCA consults on duty of care requirement
The goal is to improve industry conduct and ensure that firms are treating clients properly.
- By: James Langton
- July 17, 2018 November 13, 2019
- 13:00
OSC suspends mutual fund rep for failing to pass CPH exam
The inability to successfully pass the exam after four attempts demonstrates that the rep lacks the requisite proficiency
- By: James Langton
- July 17, 2018 November 13, 2019
- 11:40
FCA proposals aim to improve competition in the investment platform market
The proposals would strengthen competition between asset managers, make it easier for investors and advisors to switch platforms and tackle price discrimination
- By: James Langton
- July 16, 2018 November 13, 2019
- 15:30
OSFI consults on Basel III implementation
Discussion paper proposes tweaks to better suit the Canadian banking market
- By: James Langton
- July 16, 2018 November 13, 2019
- 12:44
FSB report sets out framework to monitor crypto-asset markets
Although the FSB believes that crypto assets do not pose a material risk to global financial stability at this time, it recognizes the need to…
- By: James Langton
- July 16, 2018 November 13, 2019
- 11:30
BCSC reaches settlement for unregistered trading
Former investment dealer agrees to pay more than $170,000 to regulator
- By: IE Staff
- July 13, 2018 November 13, 2019
- 15:30
IIROC fines and suspends former Regina advisor
Vulnerable clients of Darryl Joseph Yasinowski suffered significant losses
- July 13, 2018 November 13, 2019
- 13:30
OSC issues investor alert on HQ Broker
Investors approached by the unregistered firm’s representatives are urged to contact the regulator
- By: James Langton
- July 13, 2018 November 13, 2019
- 11:55
IIROC fines dealer for failure to comply with trading supervision obligations
M Partners sanctioned a second time for audit trail deficiencies
- July 13, 2018 November 13, 2019
- 11:00