MFDA bans former rep for recommending unsuitable strategy
Boyd Yahn recommended to hundreds of clients that they should invest heavily in precious metals funds
- By: James Langton
- September 11, 2017 May 31, 2019
- 10:20
Latest news in From the Regulators
Mark Carney to chair two key BIS central bank groups
Carney will succeed Agustín Carstens, who will step down as chairman of two committees when he takes up the post of general manager of the…
- By: James Langton
- September 11, 2017 May 31, 2019
- 09:55
Securities commissions defend name and shame lists despite long list of unpaid penalties
In Ontario, Alberta and Saskatchewan, names on the unpaid orders lists are erased when the debt is paid, but in B.C. and Nova Scotia, the…
- By: Dan Healing
- September 10, 2017 May 31, 2019
- 19:00
Laurentian Bank Securities fined $200,000
IIROC sanctions firm for supervisory failures
- By: James Langton
- September 7, 2017 May 31, 2019
- 13:20
First Block Capital granted bitcoin investment fund manager registration
Registration allows access to bitcoin investments, while providing regulators with the means to monitor operations in this rapidly developing area
- By: James Langton
- September 6, 2017 May 31, 2019
- 14:30
OSC to discuss results of gender diversity review
An upcoming roundtable will include a panel discussion on the results of the OSC latest review of disclosure concerning women on boards and in executive…
- By: James Langton
- September 6, 2017 May 31, 2019
- 10:00
MFDA proposes rule changes
The changes aim to ensure the MFDA’s rules stay consistent with the rules of provincial securities regulators
- By: James Langton
- September 5, 2017 May 31, 2019
- 15:15
Basel Committee, IFRS Foundation sign MOU
New co-operation agreement to foster long-term financial stability
- By: James Langton
- September 5, 2017 May 31, 2019
- 14:00
China bans initial coin offerings
Hong Kong’s SFC urges investors to be mindful of potential scams as well as the investment risks involved in ICOs
- By: James Langton
- September 5, 2017 May 31, 2019
- 11:30
U.S. regulation to reduce systemic risk
“Final rule” aims to prevent mass unravelling of financial contracts should one major institution fail
- By: James Langton
- September 1, 2017 May 31, 2019
- 11:40
FINRA cautions investors on initial coin offerings
FINRA’s alert reinforces the SEC’s and CSA’s conclusions that certain ICOs may be considered securities
- By: James Langton
- September 1, 2017 May 31, 2019
- 10:15
Report examines implications of fintech developments for banks and bank supervisors
Regulator must be prepared to adapt banking standards and supervisory expectations to new innovations
- By: James Langton
- August 31, 2017 May 31, 2019
- 14:35
Former rep asks OSC to appeal IIROC penalty
An OSC hearing will consider Earl Marek’s application in November
- By: James Langton
- August 31, 2017 May 31, 2019
- 12:45
OSC announces IFPAC members
The committee advises OSC staff on policy initiatives and developments in the investment funds and structured products industry
- By: James Langton
- August 31, 2017 May 31, 2019
- 10:00
U.S. DOL to delay certain provisions of new fiduciary rule further
The main purpose of the proposed delay to July 1, 2019 is to give the DOL more time to consider possible changes and alternatives to…
- By: James Langton
- August 30, 2017 May 31, 2019
- 16:10
NASAA cautions investors to watch for scams in wake of Hurricane Harvey
Exam enrolment windows extended for candidates in regions declared disaster areas
- August 30, 2017 May 31, 2019
- 10:00
Many firms fail to meet suitability requirements
The review conducted by the Central Bank of Ireland comes in advance of proposed new requirements
- By: James Langton
- August 29, 2017 May 31, 2019
- 13:00
Insurance regulators take next steps on seg fund disclosure
The CCIR will also look at issues such as risk classification methodology, oversight of sales, needs-based selling practices, updating of client records and know-your-product due…
- By: Megan Harman
- August 29, 2017 May 31, 2019
- 10:40
SEC warns investors about potential ICO scams
Fraud schemes may involve stocks of companies that claim to engage in initial coin offerings
- By: James Langton
- August 28, 2017 May 31, 2019
- 15:45
IIROC to keep regulation fees flat for next fiscal year
The SRO recorded a surplus of $6.6 million in fiscal 2017, according to the latest annual report
- By: James Langton
- August 28, 2017 May 31, 2019
- 15:15
Mutual fund rep banned, fined $200,000
Former rep misappropriated clients’ funds and failed to co-operate with an MFDA investigation
- By: James Langton
- August 24, 2017 May 31, 2019
- 16:20
Monica Kowal resigns from OSC
The former vice chairwoman will join TD Bank as head of global wealth compliance
- By: James Langton
- August 24, 2017 May 31, 2019
- 13:25
Cryptocurrency offerings must comply with securities laws: CSA
Canadian regulators have followed in the SEC’s footsteps, as the U.S. regulator took a similar approach in July
- By: James Langton
- August 24, 2017 May 31, 2019
- 10:20
MFDA bans, fines mutual fund rep
Former TD advisor admitted to misappropriating clients’ funds and falsifying signatures
- By: James Langton
- August 23, 2017 May 31, 2019
- 09:20