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
Latest news in From the Regulators
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
TMX to host roundtable on internalization in Canada’s equity markets
IIROC and the CSA have begun to gather information in order to determine whether any regulatory action is required
- By: James Langton
- December 5, 2017 October 7, 2019
- 12:10
OSC places restrictions on mutual fund rep
A volunteer minister is prohibited from having members of his church as clients
- By: James Langton
- December 5, 2017 October 7, 2019
- 11:45
CSA survey reveals investors’ weak investment knowledge
Canadian investors are increasingly relying on social media for their information about investing
- By: James Langton
- December 4, 2017 October 7, 2019
- 11:50
SEC halts alleged ICO scam
The U.S. regulator has frozen the assets of Dominic Lacroix and his Quebec-based company, PlexCorps
- By: James Langton
- December 4, 2017 October 7, 2019
- 11:15
Dealers approve directors at 2017 MFDA AGM
Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients
- December 1, 2017 October 7, 2019
- 12:20
CFTC gearing up for trading in bitcoin futures
Major U.S. futures exchanges poised to begin trading
- By: James Langton
- December 1, 2017 October 7, 2019
- 11:50
CFTC extends relief to dealers in Canada, other countries
The U.S. regulator will not recommend enforcement action against dealers for failing to comply with swap data reporting requirements
- By: James Langton
- November 30, 2017 October 7, 2019
- 15:00
FSB proposes new guidance for banks deemed too big too fail
Global policymakers seek comments on two consultation papers
- By: James Langton
- November 30, 2017 October 7, 2019
- 14:40
CSA approves IIROC CE rules
Tougher penalties for failing to meet CE requirements will be delayed until the end of the new CE cycle
- By: James Langton
- November 30, 2017 October 7, 2019
- 12:50
Australia to investigate alleged financial industry misconduct
Inquiry adds to challenges at Australian banks
- By: James Langton
- November 30, 2017 October 7, 2019
- 12:00
OSFI releases final version of CAR guideline
The revisions result from the adoption of IFRS 9 accounting standards by deposit-taking institutions in 2018
- By: James Langton
- November 30, 2017 October 7, 2019
- 11:40
Exposure to high debt, housing has eased: BoC
Healthy job creation, tightening housing policies and higher mortgages rates make Canada’s financial system less vulnerable
- By: The Canadian Press
- November 28, 2017 October 7, 2019
- 15:45
Expert to review Australia’s investment fees and costs disclosure
The review aims to assess whether investors are getting useful information
- By: James Langton
- November 28, 2017 October 7, 2019
- 11:20
Enforcement of DOL fiduciary rule delayed for 18 months
Further comments on the rule invited during transition period
- By: James Langton
- November 27, 2017 October 7, 2019
- 16:00
OSFI publishes final 2018 LICAT guideline
The new capital rules for federally regulated life insurers reflect lessons learned from the financial crisis
- By: James Langton
- November 24, 2017 October 7, 2019
- 15:30
OSC panel declines to suspend Omega Securities
The panel did impose conditions on the alternative trading service’s registration that relate to its provision of market data
- By: James Langton
- November 24, 2017 October 7, 2019
- 11:25
FCA issues update on LIBOR panels
Twenty banks have agreed to continue supporting the financial benchmark until the end of 2021
- By: James Langton
- November 24, 2017 October 7, 2019
- 10:45
Convicted securities law violator pleads guilty to further charges
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…
- By: James Langton
- November 23, 2017 October 7, 2019
- 17:10
IOSCO guidance for the termination of investment funds aims to protect investors
The decision to terminate an investment fund can have a significant impact on investors
- By: James Langton
- November 23, 2017 October 7, 2019
- 15:50
Global regulators propose reforms for audit standard setting
Consultation paper outlines options for enhancing the independence, relevance, and transparency
- By: James Langton
- November 22, 2017 October 7, 2019
- 14:50
AMF creates role to oversee fintech and innovation
Moad Fahmi will co-ordinate the work of the AMF’s fintech working group
- By: James Langton
- November 22, 2017 October 7, 2019
- 14:00
OSC seeks applicants for fintech advisory committee
The committee will assist in keeping regulation in step with digital innovation
- By: James Langton
- November 22, 2017 October 7, 2019
- 11:10