OSC approves Nasdaq Canada to operate as an exchange
Recognition will take effect March 1
- By: James Langton
- January 4, 2018 October 7, 2019
- 16:25
Latest news in From the Regulators
NASAA advises caution on cryptocurrency investments
A survey of securities regulators has found that 94% believe that there is a high risk of fraud involving cryptocurrencies
- By: James Langton
- January 4, 2018 October 7, 2019
- 13:05
NASAA tool helps investors select an advisor
Online tool includes a sample script to help start a conversation with a financial advisor
- By: James Langton
- January 3, 2018 October 7, 2019
- 15:20
Enforcement fines increased three-fold in 2017
Global regulators are focused on changing behaviours and non-financial sanctions are on the rise
- By: James Langton
- January 2, 2018 October 7, 2019
- 16:00
FSB publishes implementation plan for UTIs
Unique transaction identifiers would be introduced no later than the end of 2020
- By: James Langton
- January 2, 2018 October 7, 2019
- 14:30
October GDP flat compared with September
Compared with October 2016, Canada’s gross domestic product was up 3.4% overall
- By: James Langton
- December 22, 2017 October 7, 2019
- 14:45
MFDA, rep appeal disciplinary decision
OSC to hear both sides in case of advisor who accepted loan from clients
- By: James Langton
- December 22, 2017 October 7, 2019
- 14:25
Compliance Calendar for Advisors 2017
Regulatory deadlines and updates for financial professionals. New this update: proposed IIROC fee reforms and much more
- By: IE Staff
- December 22, 2017 October 7, 2019
- 14:00
FINRA cautions investors on cryptocurrency scams
An investor alert warns against buying the stock of companies that tout the prospect of high returns from their cryptocurrency activities
- By: James Langton
- December 22, 2017 October 7, 2019
- 09:00
OSC charges Toronto businessman with fraudulent sale of securities
The allegations relate to the fraudulent sale of hundreds of millions of dollars of securities in two companies, O24 Pharma PLC and Canadian National TV…
- By: The Canadian Press
- December 21, 2017 October 7, 2019
- 17:30
MFDA fines Sun Life dealer $1.7 million for compliance failings
The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk
- By: Megan Harman
- December 21, 2017 October 7, 2019
- 15:30
Canada and France to co-operate on fintech innovation
Agreement aims to facilitate company referrals
- By: James Langton
- December 21, 2017 October 7, 2019
- 15:15
OSC approves Assante no-contest settlement
Two Assante dealers to pay regulator and reimburse clients for alleged overcharging
- By: James Langton
- December 21, 2017 October 7, 2019
- 14:45
IIROC proposes fee reforms
The current approach to calculating a minimum fee is unnecessarily complex
- By: James Langton
- December 21, 2017 October 7, 2019
- 14:30
MFDA panel reserves decision regarding Sun Life dealer
In the event the panel accepts the settlement, it will provide written reasons for its decision
- By: IE Staff
- December 20, 2017 October 7, 2019
- 17:30
ASC suspends Privest Wealth Management
Exempt market dealer unable to fix compliance issues
- By: James Langton
- December 20, 2017 October 7, 2019
- 17:00
AMF to increase regulatory fees
Fees payable under securities, derivatives and insurance legislation will be increasing by 0.82% while increases in certain other fees are linked to inflation
- By: James Langton
- December 20, 2017 October 7, 2019
- 11:15
European regulators issue new guidance on cloud computing
The guidance tackles key aspects of outsourcing to the cloud, including data and systems security, the location of data and data processing, access and audit…
- By: James Langton
- December 20, 2017 October 7, 2019
- 11:00
Basel Committee reports challenges with stress testing
Consultation paper proposing updates to Basel Committee's stress testing principles to incorporate changes in stress testing practices that have occurred in recent years
- By: James Langton
- December 20, 2017 October 7, 2019
- 10:35
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
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