FSB to evaluate post-financial crisis reforms
Dietrich Domanski named secretary general
- By: James Langton
- October 6, 2017 September 2, 2019
- 14:30
Latest news in From the Regulators
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
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
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