IIROC inches closer to introducing client identifiers on trades
The SRO has launched a second consultation on the proposals, which may have “significant impacts” on the investment industry
- By: James Langton
- June 28, 2018 November 13, 2019
- 13:43
Latest news in From the Regulators
Cryptoasset owners have poor understanding of the investment
The top reason among investors for buying into cryptoassets was interest in new technologies followed by speculation
- By: James Langton
- June 28, 2018 November 13, 2019
- 13:30
Tax gap could be costing billions
Latest CRA study finds government could be losing up to 2.2% of individual tax revenue through offshore tax evasion
- By: Rudy Mezzetta
- June 28, 2018 November 13, 2019
- 12:25
OSFI to revise guidance on accounting rules
The new accounting rules that come into effect on Jan. 1, 2021 will have an impact on the capital rules for life and P&C insurers
- By: James Langton
- June 27, 2018 November 13, 2019
- 14:13
IIROC fines and bans former trader permanently
Robert Sole took a job with a proprietary trading firm while suspended, violating the terms of a 2016 settlement agreement
- By: James Langton
- June 26, 2018 November 13, 2019
- 15:31
Firms unprepared for benchmark reform: report
Only 12% of global financial firms have started planning for move from LIBOR toward new benchmarks
- By: James Langton
- June 25, 2018 November 13, 2019
- 15:45
European regulators warn of Brexit-related risks
Financial services firms in the EU and the U.K. must identify potential risks and exposures stemming from the departure of the U.K. without an agreement
- By: James Langton
- June 25, 2018 November 13, 2019
- 15:39
ASC launches “new economy” division
New division will co-ordinate regulator’s work in enabling new-economy companies to raise capital
- By: James Langton
- June 25, 2018 November 13, 2019
- 13:20
IIROC to provide further guidance on conflicts of interest
The SRO also plans to review the regulation of advice to ensure the rules enable innovation in the industry
- By: James Langton
- June 25, 2018 November 13, 2019
- 13:03
OSFI publishes details of capital buffers for big banks
The federal banking regulator will review the buffer on a semi-annual basis, with the first review slated for December 2018
- By: James Langton
- June 25, 2018 November 13, 2019
- 12:10
MFDA approves settlement with Equity Associates
Mutual fund dealer fined $125,000 for compliance failings
- By: IE Staff
- June 22, 2018 November 13, 2019
- 14:30
MFDA strategic plan focuses on three key priorities
The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors
- By: IE Staff
- June 19, 2018 November 13, 2019
- 16:45
CSA urges Canadians to watch for signs of financial abuse of older Canadians
The effects of financial abuse frequently go well beyond the pocketbook
- By: IE Staff
- June 18, 2018 November 13, 2019
- 06:00
Ben Cheng to pay $400,000 in Amaya insider tipping settlement
Former Aston Hill fund manager agrees to testify as a witness for the OSC
- By: James Langton
- June 15, 2018 November 13, 2019
- 15:25
FINRA initiative aims to transform registration
New technology will lead to enhanced efficiencies and reduced compliance costs for firms
- By: James Langton
- June 15, 2018 November 13, 2019
- 11:00
OSC alleges Caldwell failed to fulfill its best execution obligations
Regulator to consider allegations against portfolio and investment manager at July 3 hearing
- By: James Langton
- June 15, 2018 November 13, 2019
- 07:00
Quebec government passes Bill 141
The legislation will boost the ability of self-regulatory organizations to carry out their mandates
- By: James Langton
- June 14, 2018 November 13, 2019
- 16:45
CCIR releases model disclosure document for seg funds
Insurers will be able to adapt their disclosures to ensure consistency in language with insurance contracts and Fund Facts documents
- June 14, 2018 March 18, 2021
- 15:00
Proposed derivatives business conduct rules an important milestone
CSA issues a second request for comment
- By: James Langton
- June 14, 2018 November 13, 2019
- 14:00
Former head of Crystal Wealth banned for misappropriating $11.8 million
The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market
- By: James Langton
- June 14, 2018 November 13, 2019
- 13:30
Royal Mutual Funds reprimanded for violating sales practices rule
Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds
- By: James Langton
- June 14, 2018 November 13, 2019
- 10:23
Older Albertans approached for investment fraud more often
ASC’s annual investor study sheds light on Alberta seniors’ financial security
- By: James Langton
- June 13, 2018 November 13, 2019
- 12:30