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IIROC seeks candidates for proficiency committee

The committee gives advice on proficiency policy and operations, helps develop educational standards and reviews course materials and proposals

Toronto bank towers

OSFI risk exposure reforms positive for Canadian banks

The proposed rules will improve the accuracy of measuring banks’ exposures and lead to better decision making

SEC to conduct trading fee pilot study

CSA to co-ordinate with U.S. regulator

Quebec flag billowing in the breeze

Quebec tribunal overturns IIROC decision

An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration

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Securities regulators flag Affiliated Trade Group

Firm using fake document to solicit investments, OSC says

three businessmen sitting at a table negotiating and signing a contract. handskake. mediation concept, dispute resolution

OBSI updates terms of reference

Major reforms to the dispute resolution service’s mandate require action from regulators

Vancouver man facing more securities charges: BCSC

The man was arrested in November after he failed to appear at his trial

OSC approves $30-million settlement with Katanga Mining for improper disclosure

Current and former directors and officers will collectively pay millions of dollars more in penalties

  • By: Ian Bickis
  • December 18, 2018 December 19, 2018
  • 15:20
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IIROC schedules business continuity test for October

Planned BCP test to coincide with test in the U.S.

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

CSA to study impact of trading fees, rebates

Proposed pilot would examine the effects of a prohibition of rebate payments by Canadian marketplaces

gavel with $100-bill background

Raymond James fined $125,000 for overcharging clients

More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been

Stock market background design

IIAC calls for greater transparency on market data fees

Request follows recent a SEC decision which found that exchanges did not provide sufficient justification for their marketplace fees

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OSC names new registrant advisory committee members

The RAC serves as a forum to discuss compliance and registration issues

Manitoba Legislative Building in Winnipeg, Manitoba, Canada

David Cheop named CEO of the Manitoba Securities Commission

Cheop was deputy director and secretary of the commission from 1986 to 1998

Business woman showing stock market financial situation

IFIC offers alternative to the CSA’s proposed ban on DSC mutual funds

PMAC wants CSA to leave pooled funds out of client-focused reforms

  • By: IE Staff
  • December 14, 2018 December 25, 2018
  • 16:00

OSFI proposes reforms to large exposure risk management for banks

Reforms would limit banks’ exposures to a single counterparty, or closely connected groups of firms

IIROC consults on proposed changes to trading rules

Proposals aim to address concerns that too many small orders are being traded in the dark without price improvement

CFTC seeks input on cryptocurrency Ether

The U.S. regulator wants to understand the similarities and differences between Ether and Bitcoin

Office buildings in Toronto’s financial district

OSFI raises domestic stability buffer for banks to 1.75%

Banks should be setting aside capital so that they can weather a deterioration in economic conditions

Basel Committee publishes updated Basel III bank disclosure requirements

Revised Pillar 3 framework aims to promote discipline on bank management by bolstering disclosure to investors

business people standing in line under a magnifying glass

FINRA compliance report focuses on suitability

Inadequate due diligence on products a “common contributor” to suitability failings

Banks substantially more resilient

FSB group for the Americas concludes meeting in the Cayman Islands

business angel against the sky

PEI strengthens investor protection with passage of Bill 47

Fourth province gives full enforcement toolkit to IIROC

big ben, bridge, river, london

FCA proposes crackdown on binary options, CFDs

Proposed rules aim to address the risks to retail investors from trading in complex derivative products

Vancouver skyline with Stanley Park

BCSC raising securities market fees

Higher fees secure funding needed for effective market oversight and investor protection, commission says