ASC appoints new general counsel
Samir Sabharwal, who takes over the role effective immediately, has served in various roles with the ASC since 2005
- By: James Langton
- June 12, 2018 November 13, 2019
- 13:53
Latest news in From the Regulators
MFDA panel bans former Thunder Bay, Ont., rep
Penalty sends a “clear message” to investment industry members and the public
- By: James Langton
- June 12, 2018 November 13, 2019
- 11:30
OSC seeks applications for seniors committee
The seniors expert advisory committee includes representatives from the legal, medical and academic communities, along with investment industry and seniors advocates
- By: James Langton
- June 12, 2018 November 13, 2019
- 10:45
Feds propose changes to Canada’s anti-money laundering regulations
The changes are designed to address deficiencies in Canada’s existing AML regime
- By: James Langton
- June 11, 2018 November 13, 2019
- 16:00
CSA provides additional guidance for offerings of tokens
The new guidance aims to address when an offering of tokens involves an offering of securities
- By: James Langton
- June 11, 2018 November 13, 2019
- 12:40
OSC to consider settlement with Royal Mutual Funds
The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds
- By: James Langton
- June 8, 2018 November 13, 2019
- 17:15
OSC to consider settlement with former head of Crystal Wealth
Clayton Smith engaged in fraud, regulator alleges
- By: James Langton
- June 8, 2018 November 13, 2019
- 14:30
OSFI discussion paper examines possible reforms to reinsurance supervision
The insurance environment and reinsurance practices have changed significantly over the past 10 years
- By: James Langton
- June 8, 2018 November 13, 2019
- 13:15
FCA introduces premium listing category for sovereign-controlled companies
The new category aims to encourage more companies to adopt the U.K.’s high governance standards
- By: James Langton
- June 8, 2018 November 13, 2019
- 10:20
OSC approves no-contest settlement with IPC dealers
The two dealers will pay slightly less than $11 million to resolve allegations that clients paid excess fees
- By: James Langton
- June 7, 2018 November 13, 2019
- 17:10
Quebec judge tosses insider trading trial against former Amaya CEO
Autorité des marchés financiers “very disappointed” with decision
- By: The Canadian Press
- June 7, 2018 November 13, 2019
- 07:00
Quebec abandons plan to scrap CSF
The government is retreating in the face of opposition to the plan
- By: James Langton
- June 6, 2018 November 13, 2019
- 16:15
CSA cautions Canadians on investing with crypto-asset trading platforms
Investors using the unregulated platforms should not expect to receive the same protections applicable to exchanges or dealers
- By: James Langton
- June 6, 2018 November 13, 2019
- 14:00
IIROC bans former B.C. investment advisor
Former rep sanctioned for unapproved personal financial dealings with clients, and failing to co-operate with an investigation
- By: James Langton
- June 6, 2018 November 13, 2019
- 11:30
SEC appoints senior advisor for digital assets and innovation
U.S. regulator adopts rule to modernize fund disclosure
- By: James Langton
- June 5, 2018 November 13, 2019
- 16:00
Manitoba strengthens IIROC’s enforcement authority
Legislation protects SRO against malicious lawsuits
- By: James Langton
- June 5, 2018 November 13, 2019
- 15:15
OSC to consider no-contest settlement with IPC dealers
The two dealers self-reported weaknesses in their controls which resulted in some clients paying excess fees
- By: James Langton
- June 5, 2018 November 13, 2019
- 14:30
Peak settles with AMF on compliance deficiencies
A 2016 review found weaknesses in the firm’s internal controls and supervisory systems
- By: James Langton
- June 5, 2018 November 13, 2019
- 11:25
FSB launches thematic peer review on bank resolution planning
As part of the review, the FSB welcomes feedback from financial institutions, industry and consumer associations and other stakeholders
- By: James Langton
- June 4, 2018 November 13, 2019
- 13:30
Ontario man charged with fraud following syndicated mortgages investigation
The allegations relate to the sale of more than $5.5 million worth of securities in Rockfort Mortgage Investment Corp. and Greenview Capital Mortgage Investment Corp
- By: James Langton
- June 4, 2018 November 13, 2019
- 11:50
OSFI proposes revisions to newly adopted capital rules for life insurers
Draft 2019 LICAT guideline released for public consultation
- By: James Langton
- June 1, 2018 November 13, 2019
- 13:45
OSC director reduces mutual fund rep’s suspension
The Quadrus rep failed to disclose a criminal charge and a conditional discharge
- By: James Langton
- May 31, 2018 November 13, 2019
- 17:20
IIROC takes over debt-market reporting from Bank of Canada
Publishing the data recognizes IIROC’s ability to leverage data already collected by it for regulatory purposes
- By: James Langton
- May 31, 2018 November 13, 2019
- 13:30
Privacy Commissioner issues guidance on consent, inappropriate data practices
“No-go zones” set useful boundaries for individuals and organizations
- By: James Langton
- May 29, 2018 November 13, 2019
- 12:00