Financial regulators meet in Montreal
The Joint Forum of Financial Market Regulators discussed a variety of high-priority regulatory issues
- By: James Langton
- April 23, 2018 November 13, 2019
- 16:00
Latest news in From the Regulators
Basel Committee reports progress on post-crisis reforms
There has been “limited progress” on some Basel III standards that were required to be adopted in 2017
- By: James Langton
- April 23, 2018 November 13, 2019
- 11:50
AMF and CDIC agreement designed to strengthen collaboration on business continuity and crisis management
The MoU aims to prevent and deal with the potential failure of a domestic systemically important financial institution
- By: James Langton
- April 23, 2018 November 13, 2019
- 11:30
FSB publishes toolkit to mitigate misconduct risk
The toolkit provides firms and supervisors with ways to improve conduct and strengthen accountability
- By: James Langton
- April 20, 2018 November 13, 2019
- 16:50
OSC to consider settlement with 1832
Regulator alleges investment fund manager violated mutual fund sales practices rule
- April 20, 2018 November 13, 2019
- 11:50
MFDA bans P.E.I. advisor
Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs
- By: Leah Golob
- April 20, 2018 November 13, 2019
- 11:30
CSA seeks feedback on proposed derivatives registration rule
Registration regime aims to protect investors, reduce risk and improve transparency in the OTC derivatives markets
- By: James Langton
- April 19, 2018 November 13, 2019
- 11:45
SEC proposes best interest rule
The U.S. regulator has also proposed introducing a mandatory new disclosure document that sets out the terms of advisory relationships
- By: James Langton
- April 19, 2018 November 13, 2019
- 10:15
Feds publish regulations for large banks’ bail-in regime
OSFI issues final TLAC guideline for Canada’s banks
- By: James Langton
- April 18, 2018 November 13, 2019
- 15:20
Ontario man gets jail time for investment fraud
Senior citizen duped into paying $90,000 for worthless shares
- By: James Langton
- April 18, 2018 November 13, 2019
- 12:50
OSC gathering info for compliance reviews
The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings
- By: James Langton
- April 18, 2018 November 13, 2019
- 12:15
OSC warns investors about BitConnect
The cryptocurrency firm is not registered in Ontario
- By: James Langton
- April 17, 2018 November 13, 2019
- 11:00
B.C. moves to strengthen SRO enforcement
Amendments will allow IIROC and the MFDA to enforce penalties as court orders
- By: James Langton
- April 17, 2018 November 13, 2019
- 10:05
FINRA names Janney Montgomery Scott CEO to board of directors
Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year
- By: James Langton
- April 16, 2018 November 13, 2019
- 16:00
IIROC grants unnamed dealer exemption from client account statements requirement
The two clients are affiliates of the investment dealer
- By: James Langton
- April 16, 2018 November 13, 2019
- 14:50
SEC awards whistleblower more than US$2.1 million
The information “strongly supported” several successful enforcement actions
- By: James Langton
- April 13, 2018 November 13, 2019
- 10:10
Regulators approve MFDA membership disclosure rule
The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors
- By: James Langton
- April 12, 2018 November 13, 2019
- 15:20
CSA seeks comment on soliciting dealer arrangements
The practice raises concerns regarding conflicts of interests for dealers and corporate governance for companies
- By: James Langton
- April 12, 2018 November 13, 2019
- 14:00
CSA outlines disclosure expectations for real estate companies and REITs
A recent review of REITS and REOCs flagged a number of concerns with their disclosure practices
- By: James Langton
- April 12, 2018 November 13, 2019
- 12:23
MFDA announces 2018 client research project
Mutual fund dealers can expect a mandatory request for data in June
- By: James Langton
- April 11, 2018 November 13, 2019
- 12:15
Global policymakers issue guidance on supervisory stress testing of CCPs
The final framework incorporates feedback received during consultations
- By: James Langton
- April 10, 2018 November 13, 2019
- 13:02
ASC introduces two new commission members
Steven Cohen, Raymond Crossley appointed for three-year terms
- By: IE Staff
- April 9, 2018 November 13, 2019
- 17:15