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
Latest news in From the Regulators
IIROC to allow restricted reps to trade in exempt securities
Securities regulators extend mutual fund-only exemption
- By: James Langton
- November 22, 2017 October 7, 2019
- 10:20
B.C. regulators cancel life licences
The agents had similar answer sequences on their licensing exams
- November 21, 2017 October 7, 2019
- 16:00
Venture capital investments in N.B. reach a new high
FCNB releases capital markets report
- By: James Langton
- November 17, 2017 October 7, 2019
- 12:10
ESMA proposes guidelines on derivatives data reporting
The guidelines aim to ensure greater consistency in reporting by trade repositories
- By: James Langton
- November 17, 2017 October 7, 2019
- 12:00
AMF eyes reps’ business relationships
The Quebec regulator intends to publish a governance and compliance guide for firms in early 2018
- By: James Langton
- November 16, 2017 October 7, 2019
- 17:25
Report calls on industry to combat elder financial abuse
Investment industry firms urged to do more to prepare for and respond to the needs of vulnerable investors
- By: James Langton
- November 16, 2017 October 7, 2019
- 15:55
BCSC sponsors regtech hackathon
The competition will focus on tech-driven solutions that could help industry firms meet their regulatory requirements
- November 16, 2017 October 7, 2019
- 15:30
SEC to focus on defending retail investors
Enforcement division releases report on priorities and enforcement activity
- By: James Langton
- November 16, 2017 October 7, 2019
- 15:10
FINRA’s public board members criticized for “deep ties” to investment industry
A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have…
- By: James Langton
- November 16, 2017 October 7, 2019
- 12:25
Mortgage borrowers likely facing higher rates
Interest rate shocks for some households could be “significant,” report warns
- By: James Langton
- November 15, 2017 October 7, 2019
- 15:15
Ontario commits to move forward on regulating financial planners
The province will “consult extensively with stakeholders” on effort to restrict the use of financial planning titles and impose proficiency requirements on financial planners
- By: James Langton
- November 15, 2017 November 9, 2019
- 12:05
Omega Securities opposed to OSC temporary order
Regulators allege compliance deficiencies in the firm’s market data reporting are hampering oversight
- By: James Langton
- November 15, 2017 October 7, 2019
- 11:15
New Brunswick to introduce legislation enabling PRPPs
Similar laws have already been introduced in British Columbia, Alberta, Saskatchewan, Manitoba, Quebec, Ontario and Nova Scotia, along with the federal government
- By: James Langton
- November 14, 2017 October 7, 2019
- 16:40
Global regulators call for comments on reforms to audit standard-setting process
Consultation paper sets options to enhance the governance, accountability and oversight
- By: James Langton
- November 9, 2017 October 7, 2019
- 14:45
Co-operation key to cybersecurity
U.S. drill shows need for partnership between industry and government in protecting against attack
- By: James Langton
- November 9, 2017 October 7, 2019
- 12:20
IOSCO reports progress on post-crisis reforms
Implementation is most advanced with respect to hedge funds, structured products and the oversight of credit rating agencies
- By: James Langton
- November 8, 2017 September 19, 2019
- 16:30
OSFI issues draft governance guideline
Revisions aim for a more focused and effective approach to governance of Canadian financial institutions
- By: James Langton
- November 7, 2017 September 19, 2019
- 15:30
FSCO to revamp insurance advisors’ compliance exams
The regulator will begin sending out questionnaires to some advisors who are deemed to be higher risk to determine if they need a more in-depth…
- By: Megan Harman
- November 7, 2017 November 9, 2019
- 15:00
FCNB looks for input on combatting financial abuse of seniors
Seniors now make up 19.9% of New Brunswick’s population — the highest percentage in the country.
- By: James Langton
- November 7, 2017 September 19, 2019
- 12:25
MFDA: Signature falsification still a problem
Infractions range from the use of blank forms signed in advance by the client to actively signing the client’s name
- By: Megan Harman
- November 7, 2017 November 9, 2019
- 12:03
AMF joins IVADO
The data science organization will contribute to work in the Quebec regulator’s Fintech Lab
- By: James Langton
- November 6, 2017 September 19, 2019
- 16:15
Report aims to enhance finch innovation and competition
Competition Bureau invites feedback on draft recommendations
- By: James Langton
- November 6, 2017 September 19, 2019
- 15:45
FSB weighs financial stability implications of AI
Report considers the risks and benefits that could emerge as activities continue to grow across the financial industry
- By: James Langton
- November 1, 2017 September 19, 2019
- 13:20
OSC announces SME committee members
The SMEC provides the commission with advice on issues affecting smaller companies
- By: James Langton
- November 1, 2017 September 19, 2019
- 12:30