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
Latest news in From the Regulators
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
SEC charges day trader in brokerage account takeover scheme
Account takeovers are a growing threat to retail investors, U.S. regulator says
- By: James Langton
- October 30, 2017 September 19, 2019
- 15:30
NASAA spotlights warning signs of financial abuse by guardians
Incidents of suspected abuse should be reported to authorities, regulators say
- By: James Langton
- October 30, 2017 September 19, 2019
- 11:45
Canadian regulators sign fintech agreement with Abu Dhabi
Agreement aims to foster co-operation and information sharing on licensing innovative fintech businesses
- By: James Langton
- October 26, 2017 September 19, 2019
- 16:30
Threat of cyberattack has BoC governor worried
Government has a critical, co-ordinating role to play in defending the financial system from hackers, Poloz says
- By: The Canadian Press
- October 26, 2017 September 19, 2019
- 16:00
BCSC bans pair for market manipulation
Former advisor ordered to pay $800,000 penalty
- By: James Langton
- October 26, 2017 September 19, 2019
- 15:30
Measures aim to ease conflict with EU’s MiFID II research provisions
SEC, European Commission take co-ordinated action
- By: James Langton
- October 26, 2017 September 19, 2019
- 14:00
CSA opens discussion on director independence
A new consultation paper aims to weigh the costs and benefits of different approaches to determining director and audit committee member independence
- By: James Langton
- October 26, 2017 September 19, 2019
- 11:50
Compliance failures at heart of Global RESP chairwoman’s rejected UDP application
Hanane Bouji’s conduct “is inconsistent with what is expected from an individual seeking to become a UDP,” according to an OSC hearing panel’s decision
- By: James Langton
- October 25, 2017 September 19, 2019
- 19:50
U.K. investors urged to report fraud
Less than two-thirds of investors surveyed are likely to report suspected investment fraud.
- By: James Langton
- October 25, 2017 September 19, 2019
- 12:30
Basel Committee guides banks on “step-in risk”
New guidelines aim to address the risk that distress faced by shadow banks could spill over to traditional banks
- By: James Langton
- October 25, 2017 September 19, 2019
- 10:45