Some CCPs still lag on risk management and recovery planning
Regulators call on central counterparties to maintain sufficient liquidity
- By: James Langton
- May 3, 2018 November 13, 2019
- 11:00
Latest news in From the Regulators
SEC launches additional investor protection search tool
SALI aims to better equip investors to protect themselves against fraud
- By: James Langton
- May 2, 2018 November 13, 2019
- 16:00
ECB publishes framework for testing resilience to cyber attacks
TIBER-EU aims to mimic the tactics, techniques and procedures of real hackers
- May 2, 2018 November 13, 2019
- 11:50
BCSC seeks feedback on proposed fee changes
The proposed fee changes will be used to fund increased enforcement and meet growing regulatory obligations
- By: James Langton
- May 1, 2018 November 13, 2019
- 16:15
Fund manager loses bid to exclude evidence from OSC hearing
Hearing into allegations of illegal insider tipping postponed until September
- By: James Langton
- May 1, 2018 November 13, 2019
- 16:00
Australian regulator reviewing ICOs
Some issuers have halted their ICOs to address the ASIC’s concerns
- By: James Langton
- May 1, 2018 November 13, 2019
- 14:10
Former mutual fund advisor banned
MFDA hearing panel finds Thunder Bay man misappropriated money for spouse’s TFSA
- By: James Langton
- April 30, 2018 November 13, 2019
- 10:30
Two Ontario men charged with fraud: OSC
The charges relate to the sale of securities in Hockley Energy and Rocky Point Energy
- By: James Langton
- April 27, 2018 December 15, 2021
- 15:25
State AGs fight for DOL fiduciary rule
Three states rush to defend regulations that require retirement investment advisors to put the interests of their clients above their own financial gain
- By: James Langton
- April 27, 2018 November 13, 2019
- 13:45
Compensation funds available for Phoenix group victims
Almost $3 million has been forfeited to Ontario’s Civil Remedies for Illicit Activities Office
- By: James Langton
- April 26, 2018 November 13, 2019
- 14:45
IIROC receives passing grade from regulators
An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed
- By: James Langton
- April 26, 2018 November 13, 2019
- 12:07
Offering ETFs will mean new requirements for mutual fund dealers
Training, due diligence, trading instructions among issues MFDA firms will have to consider
- By: Leah Golob
- April 25, 2018 November 13, 2019
- 14:17
IAP frustrated with slow pace on improving investor protection
Investor Advisory Panel calls on regulators to adopt a “best interest” standard as soon as possible
- By: James Langton
- April 25, 2018 November 13, 2019
- 12:20
Ontario woman convicted of fraud
The conviction follows an OSC investigation into the sale of promissory notes offering 15% returns to investors
- By: James Langton
- April 25, 2018 November 13, 2019
- 10:45
Fundserv proposes rules for new service providers
Proposed rules out for comment until May 22
- April 24, 2018 November 13, 2019
- 16:15
IOSCO seeks comment on proposals to support audit quality
Consultation paper sets out good practices for audit committees
- By: James Langton
- April 24, 2018 November 13, 2019
- 14:35
1832 to pay $950,000 settlement
OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees
- By: James Langton
- April 24, 2018 November 13, 2019
- 13:40
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
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