OSC requests applications for continuous disclosure advisory committee
The deadline for applications is May 28
- By: James Langton
- May 7, 2018 November 13, 2019
- 11:51
Latest news in From the Regulators
FSB consults on using compensation data to prevent financial industry misconduct
The recommendations seek to assist regulators’ oversight of the effectiveness of compensation tools in addressing misconduct risk
- By: James Langton
- May 7, 2018 November 13, 2019
- 11:00
ASC gives green light to no-contest settlements
Enforcement tool enables regulators to resolve cases more quickly
- By: James Langton
- May 4, 2018 November 13, 2019
- 15:17
IIROC reports decline in enforcement activity for 2017
The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having…
- By: James Langton
- May 4, 2018 November 13, 2019
- 12:10
MFDA fines, bans former mutual fund rep
David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”
- By: James Langton
- May 4, 2018 November 13, 2019
- 10:04
Regulators issue proposed guidance for insurers, advisors
Proposal aims to “foster discussions between regulators, insurers and intermediaries on market conduct”
- By: Megan Harman
- May 3, 2018 November 13, 2019
- 17:06
Report highlights significant increase in MFDA enforcement activity
Monetary sanctions levied against both mutual fund dealers and mutual fund advisors totalled $8.5 million in 2017
- By: James Langton
- May 3, 2018 November 13, 2019
- 13:40
Some CCPs still lag on risk management and recovery planning
Regulators call on central counterparties to maintain sufficient liquidity
- By: James Langton
- May 3, 2018 November 13, 2019
- 11:00
SEC launches additional investor protection search tool
SALI aims to better equip investors to protect themselves against fraud
- By: James Langton
- May 2, 2018 November 13, 2019
- 16:00
ECB publishes framework for testing resilience to cyber attacks
TIBER-EU aims to mimic the tactics, techniques and procedures of real hackers
- May 2, 2018 November 13, 2019
- 11:50
BCSC seeks feedback on proposed fee changes
The proposed fee changes will be used to fund increased enforcement and meet growing regulatory obligations
- By: James Langton
- May 1, 2018 November 13, 2019
- 16:15
Fund manager loses bid to exclude evidence from OSC hearing
Hearing into allegations of illegal insider tipping postponed until September
- By: James Langton
- May 1, 2018 November 13, 2019
- 16:00
Australian regulator reviewing ICOs
Some issuers have halted their ICOs to address the ASIC’s concerns
- By: James Langton
- May 1, 2018 November 13, 2019
- 14:10
Former mutual fund advisor banned
MFDA hearing panel finds Thunder Bay man misappropriated money for spouse’s TFSA
- By: James Langton
- April 30, 2018 November 13, 2019
- 10:30
Two Ontario men charged with fraud: OSC
The charges relate to the sale of securities in Hockley Energy and Rocky Point Energy
- By: James Langton
- April 27, 2018 December 15, 2021
- 15:25
State AGs fight for DOL fiduciary rule
Three states rush to defend regulations that require retirement investment advisors to put the interests of their clients above their own financial gain
- By: James Langton
- April 27, 2018 November 13, 2019
- 13:45
Compensation funds available for Phoenix group victims
Almost $3 million has been forfeited to Ontario’s Civil Remedies for Illicit Activities Office
- By: James Langton
- April 26, 2018 November 13, 2019
- 14:45
IIROC receives passing grade from regulators
An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed
- By: James Langton
- April 26, 2018 November 13, 2019
- 12:07
Offering ETFs will mean new requirements for mutual fund dealers
Training, due diligence, trading instructions among issues MFDA firms will have to consider
- By: Leah Golob
- April 25, 2018 November 13, 2019
- 14:17
IAP frustrated with slow pace on improving investor protection
Investor Advisory Panel calls on regulators to adopt a “best interest” standard as soon as possible
- By: James Langton
- April 25, 2018 November 13, 2019
- 12:20
Ontario woman convicted of fraud
The conviction follows an OSC investigation into the sale of promissory notes offering 15% returns to investors
- By: James Langton
- April 25, 2018 November 13, 2019
- 10:45
Fundserv proposes rules for new service providers
Proposed rules out for comment until May 22
- April 24, 2018 November 13, 2019
- 16:15
IOSCO seeks comment on proposals to support audit quality
Consultation paper sets out good practices for audit committees
- By: James Langton
- April 24, 2018 November 13, 2019
- 14:35
1832 to pay $950,000 settlement
OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees
- By: James Langton
- April 24, 2018 November 13, 2019
- 13:40