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IIROC secures greater enforcement authority in Canada’s territories

Nunavut, the Northwest Territories and Yukon join seven provinces in strengthening investor protection

Block letters spelling fraud, with magnifying glass

BCSC permanently bans convicted fraudster from capital markets

Ponzi scheme using promissory notes cause investor losses of more than $1.5 million

  • By: IE Staff
  • November 2, 2018 November 2, 2018
  • 10:45
Many hands choosing cryptocurrency coins from box labeled ICO

OSC introduces new cryptoasset educational tools

According to the commission’s research, 5% of adults in Ontario already own cryptoassets

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IIROC hearing to consider settlement with Raymond James

Proposed settlement concern the dealer’s oversight of fee-based accounts

Gavel and judgement on desk

Revised MFDA sanction guidelines take effect Nov. 15

The revised guidelines adopt a principles-based approach to meting out disciplinary penalties

OSFI releases final version of capital adequacy guideline for banks

Updated requirements will take effect in the first quarter of 2019.

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FAQ explains OSC tribunal procedures

Questions and answers provide an overview of procedures for commission enforcement proceedings

Report calls for further progress in the implementation of Basel III standards

Limited progress has been made on implementing standards whose deadlines have passed

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AMF proposes bail-in regime for Desjardins

The proposed regime is similar to the one that was adopted for the major Canadian banks

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Court orders hearing to decide issue of Ian Thow penalty

The BCSC had applied to renew a $250,000 penalty before the limitation period expires

Judge gavel, scales of justice and law books in court

Court dismisses malicious prosecution lawsuit against AMF

Quebec regulator’s investigation and complaint covered by its statutory immunity

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MFDA bans former Investia rep

Ontario advisor referred clients to invest in syndicated mortgages off book

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SEC’s market data fee rulings credit negative for U.S. cash equities’ exchange operators

There is an increased possibility that legal challenges will be successful, Moody’s report says

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OSC sanctions K2, executives for manipulative options trading

Administrative penalties total nearly $1 million

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SEC launches new strategic fintech hub

The innovation hub replaces a number of SEC working groups

CSA issues guidance regarding disruption of mail service

Stakeholders should consult with their local regulators

Judge gavel, scales of justice and law books in court

Repeat offender sentenced to jail

Ontario woman guilty of selling fraudulent promissory notes

enior couple meeting advisor

More clarity needed on client-focused reforms: IIAC

Industry group calls for joint CSA/SRO committee to receive feedback and guidance

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CSA outlines market disruption co-ordination process

Today’s notice sets out the responsibilities of industry firms and regulators in dealing with a market disruption

OSC seeks applications for securities proceedings advisory committee

Applicants should have an excellent knowledge of Ontario securities law and significant practice experience in securities litigation

Basel Committee issues final stress testing principles

Revisions designed to address key weaknesses exposed by the financial crisis

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SEC overturns previous ruling in market data fees case

NYSE Arca and Nadaq failed to prove fees challenged by SIMFA were fair

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Former Winnipeg rep fined $100,000

One client lost $30,000 and another lost $212,000 as a result of advisor’s misconduct

Businessman Using Calculator With Piggybank And Stack Of Coins On Desk

BCSC adds two calculators to investor education website

Return on investment and investment growth calculators help investors understand key concepts

  • By: IE Staff
  • October 15, 2018 October 15, 2018
  • 17:25

FCA opens a discussion on the impact of climate change and green finance on financial services

Discussion paper seeks input of for key areas