Quebec judge tosses insider trading trial against former Amaya CEO
Autorité des marchés financiers “very disappointed” with decision
- By: The Canadian Press
- June 7, 2018 November 13, 2019
- 07:00
Latest news in From the Regulators
Quebec abandons plan to scrap CSF
The government is retreating in the face of opposition to the plan
- By: James Langton
- June 6, 2018 November 13, 2019
- 16:15
CSA cautions Canadians on investing with crypto-asset trading platforms
Investors using the unregulated platforms should not expect to receive the same protections applicable to exchanges or dealers
- By: James Langton
- June 6, 2018 November 13, 2019
- 14:00
IIROC bans former B.C. investment advisor
Former rep sanctioned for unapproved personal financial dealings with clients, and failing to co-operate with an investigation
- By: James Langton
- June 6, 2018 November 13, 2019
- 11:30
SEC appoints senior advisor for digital assets and innovation
U.S. regulator adopts rule to modernize fund disclosure
- By: James Langton
- June 5, 2018 November 13, 2019
- 16:00
Manitoba strengthens IIROC’s enforcement authority
Legislation protects SRO against malicious lawsuits
- By: James Langton
- June 5, 2018 November 13, 2019
- 15:15
OSC to consider no-contest settlement with IPC dealers
The two dealers self-reported weaknesses in their controls which resulted in some clients paying excess fees
- By: James Langton
- June 5, 2018 November 13, 2019
- 14:30
Peak settles with AMF on compliance deficiencies
A 2016 review found weaknesses in the firm’s internal controls and supervisory systems
- By: James Langton
- June 5, 2018 November 13, 2019
- 11:25
FSB launches thematic peer review on bank resolution planning
As part of the review, the FSB welcomes feedback from financial institutions, industry and consumer associations and other stakeholders
- By: James Langton
- June 4, 2018 November 13, 2019
- 13:30
Ontario man charged with fraud following syndicated mortgages investigation
The allegations relate to the sale of more than $5.5 million worth of securities in Rockfort Mortgage Investment Corp. and Greenview Capital Mortgage Investment Corp
- By: James Langton
- June 4, 2018 November 13, 2019
- 11:50
OSFI proposes revisions to newly adopted capital rules for life insurers
Draft 2019 LICAT guideline released for public consultation
- By: James Langton
- June 1, 2018 November 13, 2019
- 13:45
OSC director reduces mutual fund rep’s suspension
The Quadrus rep failed to disclose a criminal charge and a conditional discharge
- By: James Langton
- May 31, 2018 November 13, 2019
- 17:20
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
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