FINRA cautions investors on initial coin offerings
FINRA’s alert reinforces the SEC’s and CSA’s conclusions that certain ICOs may be considered securities
- By: James Langton
- September 1, 2017 May 31, 2019
- 10:15
Latest news in From the Regulators
Report examines implications of fintech developments for banks and bank supervisors
Regulator must be prepared to adapt banking standards and supervisory expectations to new innovations
- By: James Langton
- August 31, 2017 May 31, 2019
- 14:35
Former rep asks OSC to appeal IIROC penalty
An OSC hearing will consider Earl Marek’s application in November
- By: James Langton
- August 31, 2017 May 31, 2019
- 12:45
OSC announces IFPAC members
The committee advises OSC staff on policy initiatives and developments in the investment funds and structured products industry
- By: James Langton
- August 31, 2017 May 31, 2019
- 10:00
U.S. DOL to delay certain provisions of new fiduciary rule further
The main purpose of the proposed delay to July 1, 2019 is to give the DOL more time to consider possible changes and alternatives to…
- By: James Langton
- August 30, 2017 May 31, 2019
- 16:10
NASAA cautions investors to watch for scams in wake of Hurricane Harvey
Exam enrolment windows extended for candidates in regions declared disaster areas
- August 30, 2017 May 31, 2019
- 10:00
Many firms fail to meet suitability requirements
The review conducted by the Central Bank of Ireland comes in advance of proposed new requirements
- By: James Langton
- August 29, 2017 May 31, 2019
- 13:00
Insurance regulators take next steps on seg fund disclosure
The CCIR will also look at issues such as risk classification methodology, oversight of sales, needs-based selling practices, updating of client records and know-your-product due…
- By: Megan Harman
- August 29, 2017 May 31, 2019
- 10:40
SEC warns investors about potential ICO scams
Fraud schemes may involve stocks of companies that claim to engage in initial coin offerings
- By: James Langton
- August 28, 2017 May 31, 2019
- 15:45
IIROC to keep regulation fees flat for next fiscal year
The SRO recorded a surplus of $6.6 million in fiscal 2017, according to the latest annual report
- By: James Langton
- August 28, 2017 May 31, 2019
- 15:15
Mutual fund rep banned, fined $200,000
Former rep misappropriated clients’ funds and failed to co-operate with an MFDA investigation
- By: James Langton
- August 24, 2017 May 31, 2019
- 16:20
Monica Kowal resigns from OSC
The former vice chairwoman will join TD Bank as head of global wealth compliance
- By: James Langton
- August 24, 2017 May 31, 2019
- 13:25
Cryptocurrency offerings must comply with securities laws: CSA
Canadian regulators have followed in the SEC’s footsteps, as the U.S. regulator took a similar approach in July
- By: James Langton
- August 24, 2017 May 31, 2019
- 10:20
MFDA bans, fines mutual fund rep
Former TD advisor admitted to misappropriating clients’ funds and falsifying signatures
- By: James Langton
- August 23, 2017 May 31, 2019
- 09:20
SEC bulletin educates investors on T+2
SEC’s Office of Investor Education and Advocacy tackles the shortening of the settlement cycle
- By: James Langton
- August 22, 2017 May 31, 2019
- 11:50
Former fund salesperson committed fraud: BCSC panel
Investor funds diverted for personal expenses
- By: James Langton
- August 21, 2017 May 31, 2019
- 15:00
OSFI proposes revisions to capital adequacy rules in advance of IFRS 9
Comments on the proposals are due by Sept. 29
- By: James Langton
- August 21, 2017 May 31, 2019
- 10:35
NASAA survey highlights greater need for senior financial fraud detection
Industry and regulators need to apply greater resources to stop financial fraud against seniors
- By: James Langton
- August 21, 2017 May 31, 2019
- 10:00
BCSC investigation leads to arrest
Rog Mangat is facing fraud charges related to an alleged scheme that he called Privileged Investment Group
- By: IE Staff
- August 14, 2017 May 31, 2019
- 15:35
IIROC to hold annual meeting on Sept. 12
The SRO will be conducting routine business, such as electing directors, appointing auditors and considering its financial statements
- By: James Langton
- August 11, 2017 May 31, 2019
- 09:15
OSC Dialogue 2017 to feature FCA, SEC executives
The OSC’s annual conference will focus mostly on how technology is leading to disruptive change in financial services
- By: James Langton
- August 10, 2017 May 31, 2019
- 14:50
OSC, FPSC sign agreement to co-operate and share information
The agreement will help the OSC and the FPSC carry out their registration/certification, compliance and enforcement duties
- By: James Langton
- August 10, 2017 May 31, 2019
- 14:20
OSC approves settlement with Home Capital Group, former execs
Gerald Soloway, Robert Morton and Martin Reid have also been prohibited from serving as officers or directors for a period of time
- By: James Langton
- August 9, 2017 May 31, 2019
- 12:00
AMF issues warning about PlexCoin
The new virtual currency is scheduled to start on Aug. 7 even though the Financial Markets Administrative Tribunal issued orders against firms selling it
- By: James Langton
- August 4, 2017 May 31, 2019
- 15:30