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
Latest news in From the Regulators
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
Manitoba moves to strengthen IIROC’s ability to collect fines
Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities
- By: IE Staff
- March 19, 2018 November 13, 2019
- 15:45
Ontario one step closer to regulating financial planners
A new consultation paper invites comments on proposals that would restrict the use of the title “financial planner” to those with the necessary proficiency or…
- By: James Langton
- March 16, 2018 November 13, 2019
- 17:00
Burlington, Ont. promoter charged with fraud
The allegations relate to the sale of more than $1 million worth of securities of A4 Diamonds Inc. to Ontario investors
- March 16, 2018 November 13, 2019
- 14:00
CSA mulls pilot study of trading fee rebate payments
The U.S. announced a similar pilot earlier this week
- By: James Langton
- March 16, 2018 November 13, 2019
- 12:45
European regulators weigh risks of big data
Legislative intervention at this point would be premature, ESAs conclude
- March 16, 2018 November 13, 2019
- 10:15
OSC to leave regulatory fees unchanged
Higher revenues and lower cost will produce a surplus for the regulator in fiscal 2018
- By: James Langton
- March 15, 2018 November 13, 2019
- 09:40
SEC proposes transaction fee pilot program
U.S. securities regulators are planning to test trading fee limits
- By: James Langton
- March 14, 2018 November 13, 2019
- 16:10
MFDA calls for nominations to regional councils
The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings
- By: James Langton
- March 14, 2018 November 13, 2019
- 15:15
FCA publishes paper on transforming culture in financial services
The industry’s culture is a priority for the U.K. regulator given its impact, and the role that it must play in re-building trust in financial…
- By: James Langton
- March 12, 2018 November 13, 2019
- 15:15
OSC denies registration to aspiring mutual fund rep
The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail
- By: James Langton
- March 12, 2018 November 13, 2019
- 14:50
IOSCO seeks to protect senior investors
Aging investors seen as particularly vulnerable to financial fraud, unsuitable investments and other risks
- By: James Langton
- March 12, 2018 November 13, 2019
- 14:00
OSC, German regulators sign deal on oversight of central counterparties
The agreement establishes a framework for consultation, co-operation and information-sharing between the OSC, BaFin, and the Bundesbank
- By: James Langton
- March 8, 2018 November 13, 2019
- 16:05
IIROC proposes changes to debt transaction reporting requirements
The proposals would reduce the reporting deadlines and increase the amount of data that are collected
- By: James Langton
- March 8, 2018 November 13, 2019
- 14:59
CSA to step up rules on syndicated mortgages
The aim is to reduce the risks related to these products, which are financing highly speculative projects
- By: James Langton
- March 8, 2018 November 13, 2019
- 12:27
European Commission focusing on fintech development
A new action plan introduces new rules to encourage the growth of crowdfunding as well as a host of other measures
- By: James Langton
- March 8, 2018 November 13, 2019
- 11:07
SEC warns of trading digital assets on unregistered, online platforms
The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not
- By: James Langton
- March 7, 2018 November 13, 2019
- 16:10
Regulators address extreme market volatility
Extreme volatility can “weaken market integrity and reduce investor confidence,” IOSCO says
- By: James Langton
- March 7, 2018 November 13, 2019
- 11:16
Three NYSE exchanges reach US$14-million settlement with the SEC
NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations
- By: James Langton
- March 6, 2018 November 13, 2019
- 15:50
B.C. court awards couple $1.7 million in damages against the CRA
The court ordered $750,000 in punitive damages against the tax agency, saying that the charges never should have been brought
- By: James Langton
- March 6, 2018 November 13, 2019
- 13:22
Global banks meeting revised Basel III requirements
New review from the Basel Committee on Banking Supervision finds that all banks meet their Tier 1 common equity requirement
- By: James Langton
- March 6, 2018 November 13, 2019
- 12:14
A quarter of British Columbians susceptible to investment fraud: BCSC
B.C. women between the ages of 18 and 34 were particularly interested in an investment offer despite it containing basic signs of fraud
- By: James Langton
- March 5, 2018 November 13, 2019
- 16:08