CSA gets tough on registration applications
Regulars say false and misleading applications pose a serious problem
- By: James Langton
- July 13, 2017 May 31, 2019
- 11:30
Latest news in From the Regulators
Manulife dealers to repay clients $11.7 million as part of no-contest settlement
The dealers allegedly overcharged fee-based client accounts about $6 million and mutual fund accounts $5.7 million between 2005 and 2016
- By: James Langton
- July 13, 2017 May 31, 2019
- 10:40
IIROC to strengthen market surveillance with new technology
The upgraded version of Nasdaq’s SMARTS technology is capable of monitoring up to a billion transactions daily, in real time
- By: James Langton
- July 13, 2017 May 31, 2019
- 09:15
SEC alleges seniors bilked in large boiler room scheme
Illegal profits were traded through Canadian brokerages, the charges say
- By: James Langton
- July 12, 2017 May 31, 2019
- 16:10
FINRA issues guidance on new rules for bond market
The rules, which come into effect next May, aim to help retail investors monitor bond trading costs by bolstering price transparency
- By: James Langton
- July 12, 2017 May 31, 2019
- 13:20
U.S. boosts scrutiny of Treasury markets
FINRA requires reporting of secondary-market transactions in Treasury securities
- By: James Langton
- July 11, 2017 May 31, 2019
- 16:10
OSC compliance reviews continue to reveal deficiencies
The provincial regulator is likely to provide more guidance on mutual fund sales practice rule and seniors
- By: James Langton
- July 11, 2017 May 31, 2019
- 13:40
OSC to consider no-contest settlement with Manulife
Two Manulife dealer subsidiaries allegedly overcharged clients in fee-based accounts between 2005 and 2016
- By: James Langton
- July 11, 2017 May 31, 2019
- 09:50
ESMA publishes final standards for publishing trade repositories data
The standards are part of an overall effort to improve transparency and oversight in over-the-counter (OTC) derivatives markets
- By: James Langton
- July 10, 2017 May 31, 2019
- 15:00
MFDA sanctions TeamMax Investments for a variety of rule violations
The violations in question stemmed from the mutual fund dealer’s failure to implement adequate compliance systems
- By: James Langton
- July 10, 2017 May 31, 2019
- 11:15
IIROC reports fewer complaints
The self-regulatory organization has ordered almost $2.7 million in monetary sanctions so far this year
- By: James Langton
- July 7, 2017 May 31, 2019
- 13:09
FINRA warns about online job interview scams
Fraudsters may be phishing for personal information
- By: James Langton
- July 6, 2017 May 31, 2019
- 16:05
OSFI proposes changes to mortgage underwriting rules
The proposals are our for comment until Aug. 17
- By: James Langton
- July 6, 2017 May 31, 2019
- 12:30
IIROC expands corporate debt transparency
Corporate bond website now includes all corporate debt trades by all IIROC-regulated firms
- By: James Langton
- July 6, 2017 May 31, 2019
- 12:00
CSA withdraws best execution proposals
Rule changes by IIROC would make the CSA requirements redundant
- By: James Langton
- July 6, 2017 May 31, 2019
- 10:55
CSA delays CCP clearing for some firms
The temporary exemption does not affect firms that are already subject to the mandatory clearing requirements
- By: James Langton
- July 6, 2017 May 31, 2019
- 09:45
Reports aim to strengthen resilience of CCPs
Global policymakers issue several sets of new guidance
- By: James Langton
- July 5, 2017 May 31, 2019
- 11:30
FSB reports to G20 on progress in financial regulatory reforms
The group is monitoring possible financial stability issues that could be raised by financial technology
- By: James Langton
- July 5, 2017 May 31, 2019
- 11:15
IIROC lagging on compliance issues: report
CSA oversight review says SRO failed to adequately resolve issues raised in 2015
- By: James Langton
- July 4, 2017 May 31, 2019
- 15:00
OSC settles with tech firm
Electrovaya to enhance disclosure and corporate governance; CEO pays penalty
- By: James Langton
- July 4, 2017 May 31, 2019
- 11:30
Two cleared on charges of unregistered trading
Helping set up website not a violation of securities laws, Ontario Court rules
- By: James Langton
- July 4, 2017 May 31, 2019
- 10:50
OSFI cautions firms on use of bank-related terms
The advisory takes immediate effect, with final compliance required in 2018 and 2019
- By: James Langton
- June 30, 2017 May 31, 2019
- 16:00
Regulators aim to reduce regulatory burden for funds in 2018
A review led by OSC and AMF staff is being conducted this year with a target for mid-2018 for proposed rule amendments and comments
- By: James Langton
- June 30, 2017 May 31, 2019
- 15:45