Projects aim to reduce regulatory burden for public companies
The policy projects stem from a consultation carried out by the CSA last year
- By: James Langton
- March 27, 2018 November 13, 2019
- 12:40
Latest news in From the Regulators
MFDA seeks comments on proposed CE amendments
Mutual fund advisors would have to complete 20 professional development credits each cycle
- By: James Langton
- March 26, 2018 November 13, 2019
- 17:20
IIROC plans changes to rules on cybersecurity
While IIROC works on amendments, it asks dealers to voluntarily report cybersecurity incidents
- March 26, 2018 November 13, 2019
- 11:15
Policymakers urged to work toward global policies on cryptocurrencies
Such a strategy would need to cover risks in both cash and derivatives products, BoC deputy governor says
- By: The Canadian Press
- March 22, 2018 November 13, 2019
- 16:50
CDPSF offers new governance and compliance training course
The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance
- By: IE Staff
- March 22, 2018 November 13, 2019
- 10:50
FCA sets out approach to supervision and enforcement
Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity
- By: IE Staff
- March 21, 2018 November 13, 2019
- 13:00
FCAC says controls to mitigate sales risk at banks “insufficient”
The consumer watchdog reviewed business practices across Canada’s Big Six banks
- By: Armina Ligaya
- March 20, 2018 November 13, 2019
- 13:10
OSC publishes Seniors Strategy
Regulator outlines initiatives to respond to the needs of Ontario seniors and the investment industry
- By: James Langton
- March 20, 2018 November 13, 2019
- 11:25
Manitoba moves to strengthen IIROC’s ability to collect fines
Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities
- By: IE Staff
- March 19, 2018 November 13, 2019
- 15:45
Ontario one step closer to regulating financial planners
A new consultation paper invites comments on proposals that would restrict the use of the title “financial planner” to those with the necessary proficiency or…
- By: James Langton
- March 16, 2018 November 13, 2019
- 17:00
Burlington, Ont. promoter charged with fraud
The allegations relate to the sale of more than $1 million worth of securities of A4 Diamonds Inc. to Ontario investors
- March 16, 2018 November 13, 2019
- 14:00
CSA mulls pilot study of trading fee rebate payments
The U.S. announced a similar pilot earlier this week
- By: James Langton
- March 16, 2018 November 13, 2019
- 12:45
European regulators weigh risks of big data
Legislative intervention at this point would be premature, ESAs conclude
- March 16, 2018 November 13, 2019
- 10:15
OSC to leave regulatory fees unchanged
Higher revenues and lower cost will produce a surplus for the regulator in fiscal 2018
- By: James Langton
- March 15, 2018 November 13, 2019
- 09:40
SEC proposes transaction fee pilot program
U.S. securities regulators are planning to test trading fee limits
- By: James Langton
- March 14, 2018 November 13, 2019
- 16:10
MFDA calls for nominations to regional councils
The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings
- By: James Langton
- March 14, 2018 November 13, 2019
- 15:15
FCA publishes paper on transforming culture in financial services
The industry’s culture is a priority for the U.K. regulator given its impact, and the role that it must play in re-building trust in financial…
- By: James Langton
- March 12, 2018 November 13, 2019
- 15:15
OSC denies registration to aspiring mutual fund rep
The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail
- By: James Langton
- March 12, 2018 November 13, 2019
- 14:50
IOSCO seeks to protect senior investors
Aging investors seen as particularly vulnerable to financial fraud, unsuitable investments and other risks
- By: James Langton
- March 12, 2018 November 13, 2019
- 14:00
OSC, German regulators sign deal on oversight of central counterparties
The agreement establishes a framework for consultation, co-operation and information-sharing between the OSC, BaFin, and the Bundesbank
- By: James Langton
- March 8, 2018 November 13, 2019
- 16:05
IIROC proposes changes to debt transaction reporting requirements
The proposals would reduce the reporting deadlines and increase the amount of data that are collected
- By: James Langton
- March 8, 2018 November 13, 2019
- 14:59
CSA to step up rules on syndicated mortgages
The aim is to reduce the risks related to these products, which are financing highly speculative projects
- By: James Langton
- March 8, 2018 November 13, 2019
- 12:27
European Commission focusing on fintech development
A new action plan introduces new rules to encourage the growth of crowdfunding as well as a host of other measures
- By: James Langton
- March 8, 2018 November 13, 2019
- 11:07
SEC warns of trading digital assets on unregistered, online platforms
The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not
- By: James Langton
- March 7, 2018 November 13, 2019
- 16:10