OSFI announces revisions to capital floor
The revised requirements for banks will begin to be phased in during the second quarter
- By: James Langton
- January 12, 2018 November 5, 2019
- 17:20
Latest news in From the Regulators
Two commissioners join SEC
Robert Jackson Jr. and Hester Peirce participated in the inaugural meeting of the SEC’s new fixed income market structure advisory committee
- By: James Langton
- January 12, 2018 October 7, 2019
- 14:50
IIROC fines advisor $90,000 for conflict of interest
The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm
- By: James Langton
- January 11, 2018 October 7, 2019
- 12:40
FCA sounds warning following CFD review
Retail investors may be at serious risk of harm from poor practices in from distributors
- By: James Langton
- January 10, 2018 October 7, 2019
- 15:00
Concerns about Alpha speed bump unfounded: report
The report examines segmentation, market quality measures, and differences in routing behaviour around the TSX Alpha Exchange redesign
- By: James Langton
- January 9, 2018 October 7, 2019
- 15:20
FINRA releases 2018 regulatory and exam priorities
Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation
- January 8, 2018 October 7, 2019
- 15:30
Court dismisses appeal of OSC securities fraud decision
The founders of North American Financial Group and North American Capital argued that a hearing panel’s and findings and penalty decision were unreasonable
- By: James Langton
- January 8, 2018 October 7, 2019
- 14:30
U.S. regulators propose new risk management guidance for banks
U.S. regulators propose new risk management guidance for banks
- By: James Langton
- January 5, 2018 October 7, 2019
- 11:30
OSC approves Nasdaq Canada to operate as an exchange
Recognition will take effect March 1
- By: James Langton
- January 4, 2018 October 7, 2019
- 16:25
NASAA advises caution on cryptocurrency investments
A survey of securities regulators has found that 94% believe that there is a high risk of fraud involving cryptocurrencies
- By: James Langton
- January 4, 2018 October 7, 2019
- 13:05
NASAA tool helps investors select an advisor
Online tool includes a sample script to help start a conversation with a financial advisor
- By: James Langton
- January 3, 2018 October 7, 2019
- 15:20
Enforcement fines increased three-fold in 2017
Global regulators are focused on changing behaviours and non-financial sanctions are on the rise
- By: James Langton
- January 2, 2018 October 7, 2019
- 16:00
FSB publishes implementation plan for UTIs
Unique transaction identifiers would be introduced no later than the end of 2020
- By: James Langton
- January 2, 2018 October 7, 2019
- 14:30
October GDP flat compared with September
Compared with October 2016, Canada’s gross domestic product was up 3.4% overall
- By: James Langton
- December 22, 2017 October 7, 2019
- 14:45
MFDA, rep appeal disciplinary decision
OSC to hear both sides in case of advisor who accepted loan from clients
- By: James Langton
- December 22, 2017 October 7, 2019
- 14:25
Compliance Calendar for Advisors 2017
Regulatory deadlines and updates for financial professionals. New this update: proposed IIROC fee reforms and much more
- By: IE Staff
- December 22, 2017 October 7, 2019
- 14:00
FINRA cautions investors on cryptocurrency scams
An investor alert warns against buying the stock of companies that tout the prospect of high returns from their cryptocurrency activities
- By: James Langton
- December 22, 2017 October 7, 2019
- 09:00
OSC charges Toronto businessman with fraudulent sale of securities
The allegations relate to the fraudulent sale of hundreds of millions of dollars of securities in two companies, O24 Pharma PLC and Canadian National TV…
- By: The Canadian Press
- December 21, 2017 October 7, 2019
- 17:30
MFDA fines Sun Life dealer $1.7 million for compliance failings
The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk
- By: Megan Harman
- December 21, 2017 October 7, 2019
- 15:30
Canada and France to co-operate on fintech innovation
Agreement aims to facilitate company referrals
- By: James Langton
- December 21, 2017 October 7, 2019
- 15:15
OSC approves Assante no-contest settlement
Two Assante dealers to pay regulator and reimburse clients for alleged overcharging
- By: James Langton
- December 21, 2017 October 7, 2019
- 14:45
IIROC proposes fee reforms
The current approach to calculating a minimum fee is unnecessarily complex
- By: James Langton
- December 21, 2017 October 7, 2019
- 14:30
MFDA panel reserves decision regarding Sun Life dealer
In the event the panel accepts the settlement, it will provide written reasons for its decision
- By: IE Staff
- December 20, 2017 October 7, 2019
- 17:30
ASC suspends Privest Wealth Management
Exempt market dealer unable to fix compliance issues
- By: James Langton
- December 20, 2017 October 7, 2019
- 17:00