Panel urges OSC to compel companies to set targets for women on boards
Pushing companies to set an actual gender diversity goal, and to explain if they fall short, is the next logical step
- By: Armina Ligaya
- October 24, 2017 September 19, 2019
- 15:50
Latest news in From the Regulators
OSC approves initial coin offering
Toronto-based Token Founder Inc. will carry out the ICO under existing prospectus exemptions
- By: James Langton
- October 23, 2017 September 19, 2019
- 14:30
FCA fines Merrill Lynch for failing to report derivatives transactions
This is the first enforcement action against a firm for failing to report details of trading in exchange-traded derivatives under the European Markets Infrastructure Regulation
- By: James Langton
- October 23, 2017 September 19, 2019
- 12:15
U.K. “regulatory sandbox” meets goals: report
The benefits include reducing the time and cost for firms of getting innovative ideas to market
- By: James Langton
- October 23, 2017 September 19, 2019
- 10:25
Execution Access settles with OSC
The U.S. fixed-income trading firm has agreed to pay almost $1 million for failing to register as an exchange or investment dealer
- By: James Langton
- October 20, 2017 September 19, 2019
- 16:40
OSC LaunchPad gets commitment for the long term
Pat Chaukos announces permanent status
- By: James Langton
- October 19, 2017 September 19, 2019
- 16:10
Preparation key to mitigating cybersecurity threats: CSA
A recent survey of 649 registered firms found that more than half experienced a cybersecurity incident in 2016
- By: James Langton
- October 19, 2017 September 19, 2019
- 12:30
FINRA proposes reforms to arbitration program
Proposed changes aim to make the program work better for investors
- By: James Langton
- October 19, 2017 September 19, 2019
- 11:40
Canadian banks compliant with Basel III liquidity rules
Canada receives highest grade following review
- By: James Langton
- October 18, 2017 September 19, 2019
- 12:00
OSC seeks lawyers for securities advisory committee
Applicants should have an excellent knowledge of Ontario securities law and significant practice experience in securities litigation
- By: James Langton
- October 18, 2017 September 19, 2019
- 11:30
N.B. to modernize credit union regulation
The goal is to reduce regulatory burden and costs
- By: James Langton
- October 18, 2017 September 19, 2019
- 11:20
Investia fined for failing to supervise reps’ outside business activities
One rep lived and worked in the United Sates and served clients over the phone
- By: James Langton
- October 18, 2017 September 19, 2019
- 10:10
OSFI’s revised guidelines include financial stress test on buyers
The revised guidelines will come into force Jan. 1.
- By: Armina Ligaya
- October 17, 2017 September 19, 2019
- 17:25
CFTC fintech unit issues virtual currency primer
The publication is the first in a series on fintech innovation
- By: James Langton
- October 17, 2017 September 2, 2019
- 12:00
TMX Group cracks down on marijuana companies that violate U.S. federal laws
CSA says companies must tell investors about risks
- By: Armina Ligaya
- October 16, 2017 September 2, 2019
- 21:15
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
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