MFDA approves settlement with Equity Associates
Mutual fund dealer fined $125,000 for compliance failings
- By: IE Staff
- June 22, 2018 November 13, 2019
- 14:30
Latest news in From the Regulators
MFDA strategic plan focuses on three key priorities
The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors
- By: IE Staff
- June 19, 2018 November 13, 2019
- 16:45
CSA urges Canadians to watch for signs of financial abuse of older Canadians
The effects of financial abuse frequently go well beyond the pocketbook
- By: IE Staff
- June 18, 2018 November 13, 2019
- 06:00
Ben Cheng to pay $400,000 in Amaya insider tipping settlement
Former Aston Hill fund manager agrees to testify as a witness for the OSC
- By: James Langton
- June 15, 2018 November 13, 2019
- 15:25
FINRA initiative aims to transform registration
New technology will lead to enhanced efficiencies and reduced compliance costs for firms
- By: James Langton
- June 15, 2018 November 13, 2019
- 11:00
OSC alleges Caldwell failed to fulfill its best execution obligations
Regulator to consider allegations against portfolio and investment manager at July 3 hearing
- By: James Langton
- June 15, 2018 November 13, 2019
- 07:00
Quebec government passes Bill 141
The legislation will boost the ability of self-regulatory organizations to carry out their mandates
- By: James Langton
- June 14, 2018 November 13, 2019
- 16:45
CCIR releases model disclosure document for seg funds
Insurers will be able to adapt their disclosures to ensure consistency in language with insurance contracts and Fund Facts documents
- June 14, 2018 March 18, 2021
- 15:00
Proposed derivatives business conduct rules an important milestone
CSA issues a second request for comment
- By: James Langton
- June 14, 2018 November 13, 2019
- 14:00
Former head of Crystal Wealth banned for misappropriating $11.8 million
The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market
- By: James Langton
- June 14, 2018 November 13, 2019
- 13:30
Royal Mutual Funds reprimanded for violating sales practices rule
Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds
- By: James Langton
- June 14, 2018 November 13, 2019
- 10:23
Older Albertans approached for investment fraud more often
ASC’s annual investor study sheds light on Alberta seniors’ financial security
- By: James Langton
- June 13, 2018 November 13, 2019
- 12:30
ASC appoints new general counsel
Samir Sabharwal, who takes over the role effective immediately, has served in various roles with the ASC since 2005
- By: James Langton
- June 12, 2018 November 13, 2019
- 13:53
MFDA panel bans former Thunder Bay, Ont., rep
Penalty sends a “clear message” to investment industry members and the public
- By: James Langton
- June 12, 2018 November 13, 2019
- 11:30
OSC seeks applications for seniors committee
The seniors expert advisory committee includes representatives from the legal, medical and academic communities, along with investment industry and seniors advocates
- By: James Langton
- June 12, 2018 November 13, 2019
- 10:45
Feds propose changes to Canada’s anti-money laundering regulations
The changes are designed to address deficiencies in Canada’s existing AML regime
- By: James Langton
- June 11, 2018 November 13, 2019
- 16:00
CSA provides additional guidance for offerings of tokens
The new guidance aims to address when an offering of tokens involves an offering of securities
- By: James Langton
- June 11, 2018 November 13, 2019
- 12:40
OSC to consider settlement with Royal Mutual Funds
The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds
- By: James Langton
- June 8, 2018 November 13, 2019
- 17:15
OSC to consider settlement with former head of Crystal Wealth
Clayton Smith engaged in fraud, regulator alleges
- By: James Langton
- June 8, 2018 November 13, 2019
- 14:30
OSFI discussion paper examines possible reforms to reinsurance supervision
The insurance environment and reinsurance practices have changed significantly over the past 10 years
- By: James Langton
- June 8, 2018 November 13, 2019
- 13:15
FCA introduces premium listing category for sovereign-controlled companies
The new category aims to encourage more companies to adopt the U.K.’s high governance standards
- By: James Langton
- June 8, 2018 November 13, 2019
- 10:20
OSC approves no-contest settlement with IPC dealers
The two dealers will pay slightly less than $11 million to resolve allegations that clients paid excess fees
- By: James Langton
- June 7, 2018 November 13, 2019
- 17:10