Aequitas seeks to allow trading in foreign-listed structured products
Canadian investors don’t have easy access to these products, nor do they have much price transparency, the exchange says
- By: James Langton
- August 9, 2018 November 13, 2019
- 12:10
Latest news in From the Regulators
CCPs increasingly important to global financial system: report
The report finds a high level of concentration at a small number of CCPs
- By: James Langton
- August 9, 2018 November 13, 2019
- 11:04
OSFI to introduce new requirements for mortgage insurers
The new rules consolidate the existing capital treatments, introduce new credit risk capital charges and include updated credit risk factors for securitized assets
- By: James Langton
- August 9, 2018 November 13, 2019
- 10:50
New York’s new cybersecurity regulations come into effect Sept. 4
Banks, insurers and other financial services firms will have to comply with certain provisions of the new cybersecurity rules
- By: James Langton
- August 8, 2018 November 13, 2019
- 17:03
BCSC orders $8.6 million in penalties in fraud case
Investors bilked of more than $5 million in investment scheme to finance two start-up companies
- By: James Langton
- August 8, 2018 November 13, 2019
- 14:49
U.S. congressman charged in insider trading scandal
Republican congressman Christopher Collins of New York, his son and others were arrested for their roles in an alleged insider trading conspiracy
- By: James Langton
- August 8, 2018 November 13, 2019
- 13:43
Insurance advisor suspended for failure to “act in the best interests of the client”
The advisor borrowed money from a client, representing “breaches of duties which lie at the very root of the agent-client relationship”
- By: James Langton
- August 8, 2018 November 13, 2019
- 11:00
All Group’s IIROC membership terminated
The firm, which has been suspended since January 2017, held no client assets and was deemed “effectively insolvent”
- By: James Langton
- August 8, 2018 November 13, 2019
- 09:25
Global regulators seek input on OTC reforms
New report suggests OTC derivatives markets have evolved in line with the objective of promoting central clearing in a bid to curb systemic risk
- By: James Langton
- August 7, 2018 November 13, 2019
- 15:26
ASC warns about potential investment scheme
The investor alert about investoneforme notes that there are certain “red flags” — and that the company is not registered to sell securities or derivatives…
- By: James Langton
- August 7, 2018 November 13, 2019
- 12:53
Regulators to create “global sandbox”
The new initiative from the global group, which includes the OSC and the AMF, aims to enable innovation in financial services across borders more quickly…
- By: James Langton
- August 7, 2018 November 13, 2019
- 11:21
BCSC alleges companies, founders of operating Ponzi scheme
Millions of dollars were raised from investors on promises of generating returns of between 5% and 30% for investments of between one and six months
- By: James Langton
- August 3, 2018 November 13, 2019
- 15:26
IOSCO calls for greater use of volatility control mechanisms
The group of regulators has been developing recommendations on mechanisms to manage episodes of extreme volatility
- By: James Langton
- August 2, 2018 November 13, 2019
- 16:30
CDS seeks revisions to governance arrangements
The clearing and settlement agency is looking to expand the pool of potential directors for its board
- By: James Langton
- August 2, 2018 November 13, 2019
- 16:08
Canada meets global standards: Report
International banking and securities regulators say Canada’s financial infrastructure generally complies with beefed-up principles
- By: James Langton
- August 2, 2018 November 13, 2019
- 10:20
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
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