Ontario man gets jail time for investment fraud
Senior citizen duped into paying $90,000 for worthless shares
- By: James Langton
- April 18, 2018 November 13, 2019
- 12:50
Latest news in From the Regulators
OSC gathering info for compliance reviews
The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings
- By: James Langton
- April 18, 2018 November 13, 2019
- 12:15
OSC warns investors about BitConnect
The cryptocurrency firm is not registered in Ontario
- By: James Langton
- April 17, 2018 November 13, 2019
- 11:00
B.C. moves to strengthen SRO enforcement
Amendments will allow IIROC and the MFDA to enforce penalties as court orders
- By: James Langton
- April 17, 2018 November 13, 2019
- 10:05
FINRA names Janney Montgomery Scott CEO to board of directors
Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year
- By: James Langton
- April 16, 2018 November 13, 2019
- 16:00
IIROC grants unnamed dealer exemption from client account statements requirement
The two clients are affiliates of the investment dealer
- By: James Langton
- April 16, 2018 November 13, 2019
- 14:50
SEC awards whistleblower more than US$2.1 million
The information “strongly supported” several successful enforcement actions
- By: James Langton
- April 13, 2018 November 13, 2019
- 10:10
Regulators approve MFDA membership disclosure rule
The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors
- By: James Langton
- April 12, 2018 November 13, 2019
- 15:20
CSA seeks comment on soliciting dealer arrangements
The practice raises concerns regarding conflicts of interests for dealers and corporate governance for companies
- By: James Langton
- April 12, 2018 November 13, 2019
- 14:00
CSA outlines disclosure expectations for real estate companies and REITs
A recent review of REITS and REOCs flagged a number of concerns with their disclosure practices
- By: James Langton
- April 12, 2018 November 13, 2019
- 12:23
MFDA announces 2018 client research project
Mutual fund dealers can expect a mandatory request for data in June
- By: James Langton
- April 11, 2018 November 13, 2019
- 12:15
Global policymakers issue guidance on supervisory stress testing of CCPs
The final framework incorporates feedback received during consultations
- By: James Langton
- April 10, 2018 November 13, 2019
- 13:02
ASC introduces two new commission members
Steven Cohen, Raymond Crossley appointed for three-year terms
- By: IE Staff
- April 9, 2018 November 13, 2019
- 17:15
OSC mediation program to continue on a permanent basis
The Ontario regulator seeks five mediators to join its roster
- By: James Langton
- April 9, 2018 November 13, 2019
- 11:15
AMF, BoC sign co-operation agreement
The MoU aims to facilitate oversight of Canada’s domestic systemically-important financial institutions
- By: James Langton
- April 9, 2018 November 13, 2019
- 10:15
OSC gathering info on cryptocurrency trading platforms
To date, none have been recognized as an exchange, or exempted from recognition
- By: The Canadian Press
- April 8, 2018 November 13, 2019
- 19:00
Mackenzie fined for excessive promotional spending
The mutual fund company has agreed to pay more than $1 million in penalties and costs for violating sales practices rules
- By: James Langton
- April 6, 2018 November 13, 2019
- 17:30
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
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