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
Latest news in From the Regulators
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
ASIC broadens fintech co-operation with Canadian regulators
Australia’s regulatory sandbox to remain unchanged
- By: James Langton
- December 12, 2017 October 7, 2019
- 10:30
California company halts ICO after SEC raises registration concerns
Munchee Inc. sought to raise US$15 million
- By: James Langton
- December 11, 2017 October 7, 2019
- 15:45
Provincial regulators ink agreement with Gibraltar
Co-operation agreement fosters cross-border oversight of alternative fund managers
- By: James Langton
- December 7, 2017 October 7, 2019
- 15:00
Governors finalize Basel III reforms
The revised capital rules for global banks will start to take effect in January 2022, and will be phased in over five years
- By: James Langton
- December 7, 2017 October 7, 2019
- 14:40
Regulators express concerns with complaint handling, complying with OBSI
Firms must ensure they make adequate disclosure regarding the use of internal ombudsmen
- By: James Langton
- December 7, 2017 October 7, 2019
- 12:30
European regulators issue guidance to help global firms manage group-wide risks
The draft technical standards aim to help financial services firms manage money laundering and terrorist financing risks in situations in which they have subsidiaries in…
- By: James Langton
- December 6, 2017 October 7, 2019
- 10:40
OSC upholds IIROC disciplinary decision
IIROC correct in concluding that fromer rep was dealing with clients
- By: James Langton
- December 5, 2017 October 7, 2019
- 15:50
FCA reveals next round of firms for regulatory sandbox
18 firms approved for latest cohort
- By: James Langton
- December 5, 2017 October 7, 2019
- 15:15
SEC awards foreign tipster US$4.1 million for bringing securities violation to light
The regulator’s whistleblower program, which pays for information resulting in significant enforcement action, has awarded more than US$179 million to 50 whistleblowers thus far
- By: James Langton
- December 5, 2017 October 7, 2019
- 14:00