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
Latest news in From the Regulators
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
AMF to increase regulatory fees
Fees payable under securities, derivatives and insurance legislation will be increasing by 0.82% while increases in certain other fees are linked to inflation
- By: James Langton
- December 20, 2017 October 7, 2019
- 11:15
European regulators issue new guidance on cloud computing
The guidance tackles key aspects of outsourcing to the cloud, including data and systems security, the location of data and data processing, access and audit…
- By: James Langton
- December 20, 2017 October 7, 2019
- 11:00
Basel Committee reports challenges with stress testing
Consultation paper proposing updates to Basel Committee's stress testing principles to incorporate changes in stress testing practices that have occurred in recent years
- By: James Langton
- December 20, 2017 October 7, 2019
- 10:35
IIROC bans former rep
The Thunder Bay, Ont., advisor raised more than $500,000 from clients off-book
- By: James Langton
- December 19, 2017 October 7, 2019
- 12:40
MFDA to consider proposed settlement with Sun Life dealer
The settlement aims to resolve a series of alleged supervisory shortcomings.
- By: James Langton
- December 19, 2017 October 7, 2019
- 11:00
OSC to consider no-contest settlement with Assante dealers
An internal review discovered certain clients were not advised they qualified for lower-fee versions of certain mutual funds
- By: James Langton
- December 19, 2017 October 7, 2019
- 10:15
CSA warns of risks associated with cryptocurrency futures
Dealers and advisors must perform their own due diligence before recommending these products to their clients
- By: James Langton
- December 18, 2017 October 7, 2019
- 15:00
Investors Group to pay $750,000 for overcharging clients
Two IG affiliates failed to move eligible investors into a cheaper series of certain funds
- By: James Langton
- December 18, 2017 October 7, 2019
- 12:10
Feds announce tougher Voluntary Disclosure Program
Taxpayers who believe they are offside the rules would do well to consider whether it makes sense to make use of the program before the…
- By: Rudy Mezzetta
- December 15, 2017 October 7, 2019
- 15:15
FCA to review ICOs
U.K. regulator issues discussion paper on the development of blockchain technology
- By: James Langton
- December 15, 2017 October 7, 2019
- 14:00
IIROC issues guidance on short position reporting
The filing of one consolidated report with IIROC is expected to be more efficient for firms
- By: James Langton
- December 15, 2017 October 7, 2019
- 13:50
No rule changes needed to accommodate MiFID II unbundling: CSA
Canadian regulators will continue to monitor developments in Europe
- By: James Langton
- December 14, 2017 October 7, 2019
- 12:50
CSA to propose post-trade reporting requirements for government debt securities
Regulators plan to unveil new reporting framework in 2018
- By: James Langton
- December 14, 2017 October 7, 2019
- 12:40
NASAA outlines investor threats
Cryptocurrency contracts for differences identified as an emerging threat
- By: James Langton
- December 13, 2017 October 7, 2019
- 14:40
CCIR recommends major changes to seg fund disclosure
The proposals would bring seg fund disclosure more closely in line with the information clients receive about mutual funds, but with some key differences
- By: Megan Harman
- December 13, 2017 October 7, 2019
- 12:30
Binary options ban takes effect
Fraudsters are still targeting Canadian investors through these, and other channels, Manitoba regulator warns
- By: James Langton
- December 13, 2017 October 7, 2019
- 10:50
Saskatchewan and Alberta make cross-border financing easier
Changes will enhance capital raising opportunities for businesses in both provinces
- By: James Langton
- December 12, 2017 October 7, 2019
- 12:40
SEC chairman urges caution over cryptocurrencies and ICOs
Less investor protection and greater opportunities for fraud and manipulation mean investors should be wary
- By: James Langton
- December 12, 2017 October 7, 2019
- 12:30
IIROC imposes higher margin requirements for cryptocurrency futures contracts
New guidance effective immediately
- By: James Langton
- December 12, 2017 October 7, 2019
- 11:45