ASC announces “credit for co-operation” in enforcement matters
The goal of the new policy is to encourage companies and individuals to self-report securities misconduct
- By: James Langton
- October 16, 2017 September 2, 2019
- 15:00
Latest news in From the Regulators
Consultation paper explores resolution issues for financial co-operatives
AMF shares expertise with IADI subcommittee
- By: James Langton
- October 13, 2017 September 2, 2019
- 13:30
Firms must put clients’ best interest first when using AI
With artificial intelligence becoming more powerful, there are risks firms could use the technology to take advantage of less sophisticated clients
- By: James Langton
- October 13, 2017 September 2, 2019
- 12:00
Securities regulators increasingly employing tech tools to speed probes
There is still a need for experienced investigators to go through findings and use judgment
- By: Armina Ligaya
- October 12, 2017 September 2, 2019
- 16:25
OSC reviewing application for Nasdaq in Canada
Stock exchange operator expected to boost competition
- By: Dan Healing
- October 12, 2017 September 2, 2019
- 16:15
OSC tweets cryptocurrency policy
Regulator uses social media platform to set out its approach to fintech and ICOs
- By: James Langton
- October 11, 2017 September 2, 2019
- 12:25
Report highlights challenges of financial benchmark reform efforts
FSB publishes progress report
- By: James Langton
- October 10, 2017 September 2, 2019
- 16:55
FSB to evaluate post-financial crisis reforms
Dietrich Domanski named secretary general
- By: James Langton
- October 6, 2017 September 2, 2019
- 14:30
Morneau expects economic positivity to continue despite weak trade numbers
The federal government is honing in on a date for its fall economic update
- By: Armina Ligaya
- October 5, 2017 September 2, 2019
- 16:55
Public companies make progress on gender equality
Larger companies and certain sectors tend to be doing a better job at finding female corporate directors
- By: James Langton
- October 5, 2017 September 2, 2019
- 11:50
FINRA receives SEC approval to streamline proficiency exams
The new structure brings greater consistency and uniformity to the process for entering and returning to the brokerage industry
- By: James Langton
- October 5, 2017 September 2, 2019
- 10:30
OSFI sees potential risks in high home prices, debt loads
The banking regulator will put forward updated mortgage underwriting guidelines by the end of the month
- By: Armina Ligaya
- October 3, 2017 September 2, 2019
- 17:30
MFDA bans, fines former rep
The Kitchener-Waterloo, Ont. advisor fled the country after misappropriating client funds
- By: James Langton
- October 3, 2017 September 2, 2019
- 11:40
Fee disclosure not enough for less confident investors
A study commissioned by the BCSC examines the impact of CRM2 cost and compensation reports
- By: James Langton
- October 2, 2017 September 2, 2019
- 15:30
Regulators celebrate investor education
IIROC rolls out enhanced resources for investors
- By: James Langton
- October 2, 2017 September 2, 2019
- 14:15
ASC to explore reforms to embedded commissions
Meeting planned for Calgary and Edmonton
- By: James Langton
- September 29, 2017 September 2, 2019
- 16:25
AMF celebrates financial education
World Investor Week runs Oct. 2 to 8
- By: James Langton
- September 29, 2017 September 2, 2019
- 11:50
Acker Finley ordered to hire compliance consultant
An OSC review in 2016 found significant deficiencies with the firm’s compliance systems
- By: James Langton
- September 28, 2017 September 2, 2019
- 16:05
Regulators issue guidance on unique product identifiers
UPIs are being introduced to enhance the transparency of the OTC derivatives markets
- By: James Langton
- September 28, 2017 September 2, 2019
- 12:30
CSA announces ban on binary options
Ban supports efforts to protect Canadians from fraud
- By: James Langton
- September 28, 2017 September 2, 2019
- 10:50
NASAA reports growing use of model fee disclosure
The model disclosure is designed to help investors better understand and compare brokers’ account and service fees
- By: James Langton
- September 27, 2017 September 2, 2019
- 14:00
OSC announces MSAC members
2017-19 term members bring a wealth of experience
- By: James Langton
- September 27, 2017 September 2, 2019
- 12:10
Joseph Borg begins term as NASAA president
The new board of directors includes Alberta’s Tom Cotter
- By: James Langton
- September 27, 2017 September 2, 2019
- 09:40
OSFI alerts financial firms to sanctions against Venezuelan regime
Firms are expected to search for and freeze assets
- By: James Langton
- September 26, 2017 September 2, 2019
- 15:25
European regulators issue executive guidance
The joint guidelines aim to harmonize requirements for firms to assess the suitability of top managers and executives
- By: James Langton
- September 26, 2017 September 2, 2019
- 15:10