Passive funds outperform: Report
EU regulator says fees ate up 25% of retail investors’ returns
- By: James Langton
- January 10, 2019 November 13, 2019
- 12:19
Latest news in From the Regulators
Manitoba regulators introduce financial literacy website
MoneySmartManitoba.ca includes information about investing, budgeting, real estate, insurance and tips on avoiding frauds
- By: James Langton
- January 10, 2019 November 13, 2019
- 11:52
Cryptoassets need oversight: regulator
European Securities and Markets Authority says ICOs leave investors exposed to risk
- By: James Langton
- January 9, 2019 November 13, 2019
- 11:24
European regulators outline fintech best practices
A European Supervisory Authorities report looks at sandboxes and innovation hubs
- By: James Langton
- January 8, 2019 November 13, 2019
- 12:24
Increase to limit on covered bond issuance would benefit all banks: DBRS
OSFI is currently considering whether to increase the limit on covered bonds, which have become an important source of funding for the big banks’ uninsured…
- By: James Langton
- January 7, 2019 November 13, 2019
- 15:23
Two new members join IAP
Ilana Singer and Daniel Brunet begin two-year terms on Investor Advisory Panel
- By: James Langton
- January 7, 2019 November 13, 2019
- 13:50
Ontario court rules against hedge fund
The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International
- By: James Langton
- January 7, 2019 November 13, 2019
- 13:15
OSC, TMX Group spar over regulation of clearing agencies
TMX Group argues that domestic clearing firms are subject to prescriptive requirements while some foreign players are granted exemptions from these requirements
- By: James Langton
- January 3, 2019 November 13, 2019
- 13:37
New lawyers join OSC committee
SPAC provides advice to the commission on administrative tribunal hearings
- By: James Langton
- January 3, 2019 November 13, 2019
- 11:20
CRA announces prescribed interest rates
Other tax changes now in effect include passive income changes for small businesses and new carbon pricing system
- By: IE Staff, The Canadian Press
- January 2, 2019 November 13, 2019
- 15:57
ASC lists top risks to investors
Regulator warns of heightened threats regarding emerging industries, such as cannabis and cryptocurrencies
- By: James Langton
- January 2, 2019 November 13, 2019
- 14:01
SEC settles with two robo-advisors
Firms sanctioned for making misleading statements to investors
- By: James Langton
- December 21, 2018 November 13, 2019
- 16:00
FINRA report shares cybersecurity best practices
Report aims to help dealers, particularly small firms, ensure they have adequate cybersecurity programs
- By: James Langton
- December 21, 2018 November 13, 2019
- 15:30
North American markets plunge for a second day
Dow drops more than 460 points
- By: Ross Marowits
- December 20, 2018 November 13, 2019
- 17:25
IIROC issues guidance on arrangements between dealers and portfolio managers
Each party has different roles and responsibilities, and different regulatory obligations, to the client
- By: James Langton
- December 20, 2018 November 13, 2019
- 17:10
IIROC seeks candidates for proficiency committee
The committee gives advice on proficiency policy and operations, helps develop educational standards and reviews course materials and proposals
- By: James Langton
- December 20, 2018 November 13, 2019
- 16:45
OSFI risk exposure reforms positive for Canadian banks
The proposed rules will improve the accuracy of measuring banks’ exposures and lead to better decision making
- By: James Langton
- December 20, 2018 November 13, 2019
- 11:00
SEC to conduct trading fee pilot study
CSA to co-ordinate with U.S. regulator
- By: James Langton
- December 19, 2018 July 2, 2020
- 16:15
Quebec tribunal overturns IIROC decision
An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration
- By: James Langton
- December 19, 2018 November 13, 2019
- 16:10
Securities regulators flag Affiliated Trade Group
Firm using fake document to solicit investments, OSC says
- By: James Langton
- December 19, 2018 November 13, 2019
- 13:20
OBSI updates terms of reference
Major reforms to the dispute resolution service’s mandate require action from regulators
- By: James Langton
- December 19, 2018 November 13, 2019
- 11:45
Vancouver man facing more securities charges: BCSC
The man was arrested in November after he failed to appear at his trial
- By: James Langton
- December 18, 2018 November 13, 2019
- 16:00
OSC approves $30-million settlement with Katanga Mining for improper disclosure
Current and former directors and officers will collectively pay millions of dollars more in penalties
- By: Ian Bickis
- December 18, 2018 November 13, 2019
- 15:20
IIROC schedules business continuity test for October
Planned BCP test to coincide with test in the U.S.
- By: James Langton
- December 18, 2018 November 13, 2019
- 14:30