SEC awards more than US$2.2 million to whistleblower
The whistleblower first reported the information to another federal agency and later provided the same information to the SEC
- By: James Langton
- April 6, 2018 November 13, 2019
- 11:10
Latest news in From the Regulators
IOSCO issues recommendations for improving bond market transparency
Regulators need better access to information to ensure oversight
- By: James Langton
- April 5, 2018 November 13, 2019
- 15:30
IIROC proposes mandatory reporting of cybersecurity incidents
Information sharing is essential for mitigating cyber threats to investment delears
- By: James Langton
- April 5, 2018 November 13, 2019
- 15:13
CSA mulls new climate change disclosure requirements
Review reveals that improvements are needed
- By: James Langton
- April 5, 2018 November 13, 2019
- 14:40
FCA rules aim to deliver better protection for fund investors
The rules are part of an overall effort to bolster competition among U.K. investment fund managers
- April 5, 2018 November 13, 2019
- 14:10
OSC to consider settlement with Mackenzie
Regulator alleges investment fund manager violated mutual fund sales practices rules
- By: James Langton
- April 5, 2018 November 13, 2019
- 10:30
OSC denies former mutual fund rep’s appeal for registration
Hearing panel rules rep unsuitable based on a lack of proficiency and integrity
- By: James Langton
- April 4, 2018 November 13, 2019
- 18:06
Fraudsters impersonating SEC employees, regulator warns
Audio recording tells investors what fraud sounds like
- By: James Langton
- April 4, 2018 November 13, 2019
- 16:10
FSCO launches consultation on fairness guideline
Treating consumers fairly means putting the interests of consumers first, Ontario regulator says
- By: James Langton
- April 3, 2018 November 13, 2019
- 17:25
OSC outlines key priorities
Regulator pledges to publish rule proposals for the introduction of a best interest standard in the coming year
- By: James Langton
- March 29, 2018 November 13, 2019
- 15:00
CSA announces new prospectus exemption
The exemption is intended to provide Canadian investors with greater certainty regarding their ability to resell their securities of foreign issuers
- March 29, 2018 November 13, 2019
- 14:20
MFDA cautions dealers on email use
Mutual fund dealers and reps use should use more secure forms of electronic communication
- By: James Langton
- March 29, 2018 November 13, 2019
- 13:45
Report urges regulators to embrace big data
Machine learning could help regulators improve oversight
- By: James Langton
- March 29, 2018 November 13, 2019
- 11:00
Ontario budget 2018: New Serious Fraud Office among regulatory proposals
Government plans to make it easier for clients to receive restitution, sharpen OSC’s enforcement teeth
- By: James Langton
- March 29, 2018 November 13, 2019
- 09:45
FCNB suspends two real estate salespeople
The pair took “extreme financial advantage” of a vulnerable senior
- By: James Langton
- March 28, 2018 November 13, 2019
- 12:30
Projects aim to reduce regulatory burden for public companies
The policy projects stem from a consultation carried out by the CSA last year
- By: James Langton
- March 27, 2018 November 13, 2019
- 12:40
MFDA seeks comments on proposed CE amendments
Mutual fund advisors would have to complete 20 professional development credits each cycle
- By: James Langton
- March 26, 2018 November 13, 2019
- 17:20
IIROC plans changes to rules on cybersecurity
While IIROC works on amendments, it asks dealers to voluntarily report cybersecurity incidents
- March 26, 2018 November 13, 2019
- 11:15
Policymakers urged to work toward global policies on cryptocurrencies
Such a strategy would need to cover risks in both cash and derivatives products, BoC deputy governor says
- By: The Canadian Press
- March 22, 2018 November 13, 2019
- 16:50
CDPSF offers new governance and compliance training course
The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance
- By: IE Staff
- March 22, 2018 November 13, 2019
- 10:50
FCA sets out approach to supervision and enforcement
Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity
- By: IE Staff
- March 21, 2018 November 13, 2019
- 13:00
FCAC says controls to mitigate sales risk at banks “insufficient”
The consumer watchdog reviewed business practices across Canada’s Big Six banks
- By: Armina Ligaya
- March 20, 2018 November 13, 2019
- 13:10
OSC publishes Seniors Strategy
Regulator outlines initiatives to respond to the needs of Ontario seniors and the investment industry
- By: James Langton
- March 20, 2018 November 13, 2019
- 11:25