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
Latest news in From the Regulators
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
OSFI publishes final TLAC disclosure requirements guideline
The guideline sets the requirements for Canada’s big banks to disclose their total loss absorbing capacity
- May 28, 2018 November 13, 2019
- 13:00
Global RESP fined for failing to comply with previous settlement
The firm failed to implement any policies or procedures designed to ensure founder Sam Bouji did not act as an officer of the firm
- By: James Langton
- May 25, 2018 November 13, 2019
- 17:30
Former rep banned for misappropriating client funds
The vulnerable investors were the parents of the rep’s former fiancé
- By: James Langton
- May 25, 2018 November 13, 2019
- 15:00
AMF seeks candidates for Distribution Practices Advisory Committee
Committee member will provide the Quebec regulator with feedback on the insurance and financial planning sectors
- By: James Langton
- May 25, 2018 November 13, 2019
- 14:45
Police warn of cryptocurrency fraud schemes
Bitcoin fast becoming the preferred payment mechanism in CRA scams
- By: James Langton
- May 25, 2018 November 13, 2019
- 11:10
CSA targets four areas to ease regulatory burden on investment funds
Regulators will propose eliminating redundant disclosure and making greater use of online technology to communicate with investors
- By: James Langton
- May 24, 2018 November 13, 2019
- 13:50
CSA seeks comment on post-trade transparency requirements for government debt
IIROC’s role as information processor expanded
- By: James Langton
- May 24, 2018 November 13, 2019
- 12:30
MFDA to hold penalty hearing for former WFG Securities reps
Twelve reps at a branch in Mississauga, Ont. falsified KYC information in order to obtain investment loans
- By: James Langton
- May 24, 2018 November 13, 2019
- 11:00
MFDA seeks comment on proposed sanction guidelines
Proposals reflect trends toward a principles-based approach to sanctioning
- By: James Langton
- May 23, 2018 November 13, 2019
- 17:15
U.K. Cryptoassets Taskforce meets for the first time
The taskforce represents a central part of the U.K. government’s efforts to understand and engage with new technologies in the financial services sector
- By: James Langton
- May 22, 2018 November 13, 2019
- 15:50
Regulators launch co-ordinated probe of cryptocurrency fraud
More than 40 provincial and state regulators are involved with Operation Cryptosweep
- May 22, 2018 November 13, 2019
- 12:00
OSC warns investors about unregistered cryptocurrency groups
Regulator singles out five firms in investor alert
- By: James Langton
- May 18, 2018 November 13, 2019
- 12:30
BCSC issues cryptocurrency alert
Investors advised to exercise caution
- By: James Langton
- May 17, 2018 November 13, 2019
- 15:10
Court overturns advisor’s acquittal
Ontario advisor violated securities rules by borrowing funds from several insurance clients
- By: IE Staff
- May 17, 2018 November 13, 2019
- 11:00
AMF seeks candidates for its technology advisory committee
The committee provides the AMF with input on technological innovation in the financial sector
- By: James Langton
- May 16, 2018 November 13, 2019
- 15:30
Proprietary product sales a cause for concern: Canoe CEO
Darcy Hulston posits that regulators may eventually crack down on the practice of advisors selling products their firms manufacture
- By: Megan Harman
- May 14, 2018 November 13, 2019
- 16:09
BCSC panel sanctions man and partnership for fraud
Ping Bai and RBP Consulting received $1.53 million from investors who were told their funds would be invested in foreign exchange trading
- May 14, 2018 November 13, 2019
- 15:48
CCMR delayed again
Depending on an upcoming Supreme Court of Canada ruling, the participating governments will update the timing of the new regulator’s launch
- By: James Langton
- May 14, 2018 November 13, 2019
- 11:30
Canada to host global tax conference next week
Government officials will discuss best practices in tax administration and efforts against tax evasion with global counterparts
- By: Rudy Mezzetta
- May 11, 2018 November 13, 2019
- 12:00
Kari Horn appointed ASC vice chairwoman
Former general counsel a depth and breadth of knowledge of securities laws and regulatory matters to her new role
- By: James Langton
- May 10, 2018 November 13, 2019
- 15:35
NBF fined $110,000 for supervision failure
Advisor did not comply with the dealer’s own guidelines for leveraged ETFs
- By: James Langton
- May 9, 2018 November 13, 2019
- 18:00
IIROC provided numerous exemptions from its own rules in 2017
Regulator reports that it received 324 proficiency exemption applications last year
- By: James Langton
- May 8, 2018 November 13, 2019
- 15:15
FCAA warns investors of “reload scheme”
Saskatchewan regulator issues cease-trade order
- By: James Langton
- May 7, 2018 November 13, 2019
- 15:40