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
Latest news in From the Regulators
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
Millennials face significant obstacles to investing: study
Six principles aim to better engage millennials in investing
- By: James Langton
- July 12, 2018 November 13, 2019
- 12:43
OSC orders executives to pay millions in penalties in Sino-Forest case
The company and several of its top executives defrauded investors and misled investigators in one of Canada’s largest corporate fraud cases
- By: The Canadian Press
- July 11, 2018 November 13, 2019
- 10:27
CSA enhances enforcement efforts
2017/18 report shows how regulators work collaboratively to address violators
- By: James Langton
- July 10, 2018 November 13, 2019
- 12:00
IIROC requests nominations for market rules advisory committee
The MRAC provides advice to IIROC staff about possible changes to trading rules, guidance and other market regulation issues
- By: James Langton
- July 9, 2018 November 13, 2019
- 15:38
MFDA readies second edition of client research project
A mandatory data request to mutual fund dealers will be issued this fall
- By: James Langton
- July 9, 2018 November 13, 2019
- 15:05
MFDA launches outreach program
The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors
- By: James Langton
- July 9, 2018 November 13, 2019
- 11:40
OSFI seeks comment on revisions to CAR guideline
The revised capital adequacy guideline for banks would take effect in Q1 2019
- By: James Langton
- July 6, 2018 November 13, 2019
- 14:30
MFDA bans Ontario fund dealer, two brothers
International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules
- By: James Langton
- July 6, 2018 November 13, 2019
- 10:45
Basel Committee revises G-SIB assessment methodology
The changes intro introduce a trading volume indicator for assessing big banks
- By: James Langton
- July 5, 2018 November 13, 2019
- 15:20
OSC stresses support for investor protection
In its annual statement of priorities, regulator reinforces its commitment to CSA’s proposed reforms and bolstering banking ombudsman
- By: James Langton
- July 5, 2018 November 13, 2019
- 12:00