The provincial regulators placed significant efforts through video and other campaigns to make investors aware of these growing issues
The financial services sector should begin planning for a move to alternative interest rate benchmarks based on actual transactions
Regulators seek comment on capital rules for life insurers
Government watchdog says regulator’s failure to implement recommendations puts financial systems at risk
While most countries have generally adopted client-asset protection regimes, progress varies
New notice cites importance of establishing special committees of independent directors to protect the interests of minority shareholders
Deutsche Bank, Citigroup, J.P. Morgan and Interactive Brokers have been cited for violating market access rules
The corporate insider, who tipped off U.S. securities regulators to the alleged fraud, is the second whistleblower the SEC has awarded this week
The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client assets
The new unit aims to consolidate the self-regulatory organization’s existing separate enforcement teams
NASAA’s proposal aims to curtail the practice of advisors accessing client accounts through their clients' login information
The offshore firm involved in the scam used images of a Canadian celebrity to draw victims in
The regulator has advised that it considers offers of digital assets utilizing blockchain technology as securities
Tips, plus documents and testimony, led to the award
LedgerX registered as derivatives clearing organization
This approach aims to further enhance the regulator's accessibility and transparency
New draft rules issued on Friday set out public disclosure requirements under the new risk-sensitive capital rules for life insurers
The regulator’s paper follows a 2015 survey highlighting several concerns, including the management of conflicts connected with remuneration
Although a hearing panel found Michael Sutton had no intent to violate the rules, it ruled that he failed to ensure proprietary funds were priced…
Canadian banks will have until 2021 to implement new capital requirements for market risk
The proposed policy sets the minimum educational, training and experience necessary for reps to sell ETFs
The company, which goes by the name Vancouver Stock Exchange Corp., is not authorized to operate as an exchange, the regulator notes in an alert
Firm fined $200,000, pays $2.5 million in client compensation over new-issue strategy employed by two advisors in Nova Scotia
The traders, along with unnamed co-conspirators, are alleged to have conspired to fix prices and rig bids for the euro–U.S. dollar currency pair