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
Latest news in From the Regulators
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
Canada’s proposed national securities regulator “significantly compromised”: report
The Capital Markets Regulatory Authority will lack the ability to unilaterally impose its regulatory authority across the country
- By: The Canadian Press
- September 19, 2017 June 7, 2019
- 09:10
ASC announces agenda and speakers for ASC Connect 2017
The full-day event includes sessions led by senior ASC leaders and industry experts
- By: IE Staff, James Langton
- September 18, 2017 June 7, 2019
- 13:30
MFDA earns clean bill of health from CSA
Former issues of false signatures and firm discipline resolved
- By: James Langton
- September 15, 2017 June 7, 2019
- 11:15
Investors cautioned over misleading designations
Some professional awards and designations provide little basis on which to judge the abilities of the advisor, SEC investor bulletin says
- By: James Langton
- September 14, 2017 June 7, 2019
- 15:40
U.K. regulator concerned about lack of competition
FCA calls for market review of investment consultancy services
- By: James Langton
- September 14, 2017 June 7, 2019
- 15:30
BCSC chides MFDA for minimal explanation on sanctions
A BCSC panel has dismissed the MFDA's application to increase the 90-day suspension imposed on an advisor
- By: James Langton
- September 14, 2017 June 7, 2019
- 10:30
IIROC 2017-18 board of directors elected
Board re-appoints Marianne Harris as chairwoman; Paul Allison appointed vice chairman
- By: James Langton
- September 13, 2017 June 7, 2019
- 11:30
OSFI publishes risk model guideline
The final version of the guideline sets standards for banks when they use internal risk models
- By: James Langton
- September 13, 2017 June 7, 2019
- 11:00
IIROC seeks nominees for OBSI board
Applications to the self-regulatory organization are due Oct. 15
- By: James Langton
- September 12, 2017 June 7, 2019
- 16:05
Report flags mutual fund fees as key investor protection issue
The impact of fees on investor returns varies across jurisdictions, asset classes and client types
- By: James Langton
- September 12, 2017 June 7, 2019
- 13:30
All banks meet Basel III minimum capital requirements: report
91% of larger banks, and 96% of smaller banks meet existing liquidity coverage ratio requirements
- By: James Langton
- September 12, 2017 June 7, 2019
- 13:15
CSA seeks new members for mining advisory committee
The committee provides securities regulators with insight into the mining industry
- By: James Langton
- September 12, 2017 June 7, 2019
- 10:35
IIROC, FCAC agree to share information
The two regulators aim to bolster investor protection
- By: IE Staff
- September 12, 2017 June 7, 2019
- 10:00
OSC announces key details for embedded commissions roundtable
The roundtable, which is part of the CSA’s consultation on discontinuing trailing commissions on mutual funds, includes three topics and 13 panellists
- By: Jade Hemeon
- September 11, 2017 May 31, 2019
- 11:25
MFDA bans former rep for recommending unsuitable strategy
Boyd Yahn recommended to hundreds of clients that they should invest heavily in precious metals funds
- By: James Langton
- September 11, 2017 May 31, 2019
- 10:20
Mark Carney to chair two key BIS central bank groups
Carney will succeed Agustín Carstens, who will step down as chairman of two committees when he takes up the post of general manager of the…
- By: James Langton
- September 11, 2017 May 31, 2019
- 09:55
Securities commissions defend name and shame lists despite long list of unpaid penalties
In Ontario, Alberta and Saskatchewan, names on the unpaid orders lists are erased when the debt is paid, but in B.C. and Nova Scotia, the…
- By: Dan Healing
- September 10, 2017 May 31, 2019
- 19:00
Laurentian Bank Securities fined $200,000
IIROC sanctions firm for supervisory failures
- By: James Langton
- September 7, 2017 May 31, 2019
- 13:20
First Block Capital granted bitcoin investment fund manager registration
Registration allows access to bitcoin investments, while providing regulators with the means to monitor operations in this rapidly developing area
- By: James Langton
- September 6, 2017 May 31, 2019
- 14:30
OSC to discuss results of gender diversity review
An upcoming roundtable will include a panel discussion on the results of the OSC latest review of disclosure concerning women on boards and in executive…
- By: James Langton
- September 6, 2017 May 31, 2019
- 10:00
MFDA proposes rule changes
The changes aim to ensure the MFDA’s rules stay consistent with the rules of provincial securities regulators
- By: James Langton
- September 5, 2017 May 31, 2019
- 15:15