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
Latest news in From the Regulators
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
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