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Fund manager loses bid to exclude evidence from OSC hearing

Hearing into allegations of illegal insider tipping postponed until September

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Australian regulator reviewing ICOs

Some issuers have halted their ICOs to address the ASIC’s concerns

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Former mutual fund advisor banned

MFDA hearing panel finds Thunder Bay man misappropriated money for spouse’s TFSA

Two Ontario men charged with fraud: OSC

The charges relate to the sale of securities in Hockley Energy and Rocky Point Energy

FCAA warns investors about binary options trading

Regulator issues cease trade order

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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

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Compensation funds available for Phoenix group victims

Almost $3 million has been forfeited to Ontario’s Civil Remedies for Illicit Activities Office

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IIROC receives passing grade from regulators

An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed

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Offering ETFs will mean new requirements for mutual fund dealers

Training, due diligence, trading instructions among issues MFDA firms will have to consider

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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

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Ontario woman convicted of fraud

The conviction follows an OSC investigation into the sale of promissory notes offering 15% returns to investors

Fundserv proposes rules for new service providers

Proposed rules out for comment until May 22

  • April 24, 2018 April 24, 2018
  • 16:15

IOSCO seeks comment on proposals to support audit quality

Consultation paper sets out good practices for audit committees

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1832 to pay $950,000 settlement

OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees

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Financial regulators meet in Montreal

The Joint Forum of Financial Market Regulators discussed a variety of high-priority regulatory issues

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

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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

FSB publishes toolkit to mitigate misconduct risk

The toolkit provides firms and supervisors with ways to improve conduct and strengthen accountability

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OSC to consider settlement with 1832

Regulator alleges investment fund manager violated mutual fund sales practices rule

  • April 20, 2018 April 20, 2018
  • 11:50
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MFDA bans P.E.I. advisor

Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs

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MFDA seeks input on expanding cost reporting

The self-regulatory organization hopes to spark a discussion on mutual fund cost reporting

CSA seeks feedback on proposed derivatives registration rule

Registration regime aims to protect investors, reduce risk and improve transparency in the OTC derivatives markets

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SEC proposes best interest rule

The U.S. regulator has also proposed introducing a mandatory new disclosure document that sets out the terms of advisory relationships

Businessman takes bag of money from another businessman.

Feds publish regulations for large banks’ bail-in regime

OSFI issues final TLAC guideline for Canada’s banks

Judge gavel, scales of justice and law books in court

Ontario man gets jail time for investment fraud

Senior citizen duped into paying $90,000 for worthless shares