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…
IIROC correct in concluding that fromer rep was dealing with clients
18 firms approved for latest cohort
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
IIROC and the CSA have begun to gather information in order to determine whether any regulatory action is required
A volunteer minister is prohibited from having members of his church as clients
Canadian investors are increasingly relying on social media for their information about investing
The U.S. regulator has frozen the assets of Dominic Lacroix and his Quebec-based company, PlexCorps
Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients
Major U.S. futures exchanges poised to begin trading
The U.S. regulator will not recommend enforcement action against dealers for failing to comply with swap data reporting requirements
Global policymakers seek comments on two consultation papers
Tougher penalties for failing to meet CE requirements will be delayed until the end of the new CE cycle
Inquiry adds to challenges at Australian banks
The revisions result from the adoption of IFRS 9 accounting standards by deposit-taking institutions in 2018
Healthy job creation, tightening housing policies and higher mortgages rates make Canada’s financial system less vulnerable
The review aims to assess whether investors are getting useful information
Further comments on the rule invited during transition period
The new capital rules for federally regulated life insurers reflect lessons learned from the financial crisis
The panel did impose conditions on the alternative trading service’s registration that relate to its provision of market data
Twenty banks have agreed to continue supporting the financial benchmark until the end of 2021
Carlos Da Silva, who escaped Canada following his 2015 conviction, will be sentenced for defying a court order and failing to surrender to authorities early…
The decision to terminate an investment fund can have a significant impact on investors
Consultation paper outlines options for enhancing the independence, relevance, and transparency
Moad Fahmi will co-ordinate the work of the AMF’s fintech working group