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
Latest news in From the Regulators
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
SEC moves to combat cyber threats, protect retail investors
Retail Strategy Task Force will develop initiatives to identify misconduct impacting retail investors
- By: James Langton
- September 26, 2017 September 2, 2019
- 10:30
Advisor exams uncover cybersecurity deficiencies: NASAA
Regulators release new cybersecurity resource for advisors
- By: James Langton
- September 25, 2017 September 2, 2019
- 10:45
OSC brings allegations of illegal insider trading to light
A former legal assistant with a Bay Street law firm is alleged to have provided an institutional trader with material, non-public information
- By: James Langton
- September 22, 2017 September 2, 2019
- 11:25
CSA announces cybersecurity review
The review follows the SEC’s disclosure that its EDGAR financial documents filing system was breached in 2016
- By: James Langton
- September 21, 2017 September 2, 2019
- 14:15
European regulators launch working group for interest rate benchmark
Efforts to replace existing financial benchmarks, follow from a widespread market manipulation scandal
- By: James Langton
- September 21, 2017 September 2, 2019
- 12:05
BCSC amends crowdfunding rules
The changes aim to increase access to capital for B.C. issuers
- By: James Langton
- September 21, 2017 September 2, 2019
- 11:30
Emerging market regulators committed to strengthening sustainable finance and cybersecurity
Regulators wrap up annual meeting in Sri Lanka
- By: James Langton
- September 21, 2017 September 2, 2019
- 11:15
OSC report highlights corporate disclosure shortcomings
Report flags misleading non-GAAP financial measures, social media and cybersecurity as concerns
- By: James Langton
- September 21, 2017 September 2, 2019
- 10:35
B.C. regulators order life insurer, payday lenders to stop “deceptive” sales
Western Life must contact everyone who’s been insured through payday lenders
- By: The Canadian Press
- September 21, 2017 June 7, 2019
- 08:30
OSC roundtable fails to produce fresh alternatives to embedded commissions
What regulators will decide to do on this remains unclear — and the discussions held on Monday did little to clarify the issue
- By: James Langton
- September 19, 2017 June 7, 2019
- 09:15
Canada’s proposed national securities regulator “significantly compromised”: report
The Capital Markets Regulatory Authority will lack the ability to unilaterally impose its regulatory authority across the country
- By: The Canadian Press
- September 19, 2017 June 7, 2019
- 09:10
ASC announces agenda and speakers for ASC Connect 2017
The full-day event includes sessions led by senior ASC leaders and industry experts
- By: IE Staff, James Langton
- September 18, 2017 June 7, 2019
- 13:30
MFDA earns clean bill of health from CSA
Former issues of false signatures and firm discipline resolved
- By: James Langton
- September 15, 2017 June 7, 2019
- 11:15
Investors cautioned over misleading designations
Some professional awards and designations provide little basis on which to judge the abilities of the advisor, SEC investor bulletin says
- By: James Langton
- September 14, 2017 June 7, 2019
- 15:40
U.K. regulator concerned about lack of competition
FCA calls for market review of investment consultancy services
- By: James Langton
- September 14, 2017 June 7, 2019
- 15:30
BCSC chides MFDA for minimal explanation on sanctions
A BCSC panel has dismissed the MFDA's application to increase the 90-day suspension imposed on an advisor
- By: James Langton
- September 14, 2017 June 7, 2019
- 10:30
IIROC 2017-18 board of directors elected
Board re-appoints Marianne Harris as chairwoman; Paul Allison appointed vice chairman
- By: James Langton
- September 13, 2017 June 7, 2019
- 11:30
OSFI publishes risk model guideline
The final version of the guideline sets standards for banks when they use internal risk models
- By: James Langton
- September 13, 2017 June 7, 2019
- 11:00
IIROC seeks nominees for OBSI board
Applications to the self-regulatory organization are due Oct. 15
- By: James Langton
- September 12, 2017 June 7, 2019
- 16:05