OSC to consider settlement with Sentry, former CEO
This week’s hearing stems from allegations Sentry violated the sales practices rules when it held a mutual fund conference in California
- By: James Langton
- April 3, 2017 February 15, 2019
- 10:35
Latest news in From the Regulators
Regulators well represented on Ontario’s annual sunshine list
Maureen Jensen, OSC chairwoman and CEO, heads the list with $642,782 in annual pay
- By: James Langton
- March 31, 2017 February 15, 2019
- 14:20
Global securities regulators agree to revised co-operation deal
An improved version of IOSCO’s multilateral memorandum of understanding will enable regulators to collect more information about online activity
- By: James Langton
- March 31, 2017 February 15, 2019
- 13:50
IIROC’s new fee model as debt information processor begins April 1
Fees for government securities dealers under the new model apply starting on Saturday and the fees for other dealers will begin July 1
- By: James Langton
- March 31, 2017 February 26, 2019
- 12:45
Province in favour of Expert Committee’s proposed rules for advisors, financial planners
Ontario’s government intends to work with the province’s financial regulators on many of the Expert Committee’s recommendations
- By: James Langton
- March 31, 2017 November 9, 2019
- 11:00
Ontario to give SROs power to collect fines against advisors in court
Advisors in the province subject to disciplinary sanctions will no longer be able to evade their fines simply by leaving the industry
- By: James Langton
- March 31, 2017 November 9, 2019
- 10:25
Will regulatory reforms be good for investment industry?
Experiences in Australia show that initial concern for regulatory reforms will give way to growth down the road for the financial advice business, head of…
- By: James Langton
- March 30, 2017 November 9, 2019
- 16:10
FINRA to introduce new rules to protect senior clients
Firms will have the power to place a temporary hold on client funds or securities that are to be disbursed if there’s a “reasonable belief…
- By: Patricia Chisholm
- March 30, 2017 February 15, 2019
- 15:30
CSA extends Louis Morriset’s term as chairman
Don Murray’s and Maureen Jensen’s terms as vice chairman and chairwoman of the policy co-ordination committee, respectively, were also extended
- By: IE Staff
- March 30, 2017 February 15, 2019
- 10:35
Former banker sanctioned for sharing client information on WhatsApp
The FCA has reached a settlement with Christopher Niehaus for sharing information about a client to impress his friends
- By: James Langton
- March 30, 2017 February 15, 2019
- 10:05
ESMA rules aim to ensure integrity of EU financial benchmarks
The rules set out standards for both benchmark administrators and contributors
- By: James Langton
- March 30, 2017 February 15, 2019
- 09:00
OSC to embrace behavioural economics in the year ahead
Behavioural insights have a role to play in producing better regulatory policy, suggests a new report from the OSC’s Investor Office
- By: James Langton
- March 29, 2017 February 15, 2019
- 11:20
Basel Committee issues revised disclosure requirements for banks
Committee gives details on how regulators should treat forthcoming changes to international accounting standards on bank provisioning
- By: James Langton
- March 29, 2017 February 15, 2019
- 09:50
IIROC settlement with former rep “inadequate”?
Although Richard Poirier’s violations are “egregious,” several mitigating factors justify $100,000 penalty and one-month suspension
- By: James Langton
- March 28, 2017 February 15, 2019
- 15:50
Basel report finds “unsatisfactory” compliance
Global banks fall short in adopting new principles for aggregating and reporting risk data
- By: James Langton
- March 28, 2017 February 15, 2019
- 11:15
Regtech could reduce compliance costs and enhance efficiency: IIF report
New technologies could enable more effective detection of suspicious transactions and activities, reduce human error and enhance security
- By: James Langton
- March 27, 2017 February 15, 2019
- 15:35
CRA publishes new compliance guidance for CRS, FATCA
CRA publishes new compliance guidance for CRS, FATCA
- By: Rudy Mezzetta
- March 27, 2017 February 15, 2019
- 11:30
European regulators report increase in consumer complaints
Concerns about fees and charges are on the rise
- By: James Langton
- March 24, 2017 February 15, 2019
- 10:00
JRC to look at expanding OBSI’s powers
The regulatory committee aims to look at recommendations for giving OBSI binding powers
- By: James Langton
- March 23, 2017 February 15, 2019
- 14:00
OSC to explore ways to reduce regulatory burden
The regulator will also look at ways to be more responsive to solutions from the investment industry while maintaining appropriate investor protection
- By: James Langton
- March 23, 2017 February 15, 2019
- 10:15
SEC shortens settlement cycle for securities
T+2 brings the cycle in line with other global markets
- By: Beatrice Paez
- March 22, 2017 February 15, 2019
- 15:20
FINRA to explore enhancing engagement with broker dealers
The U.S. investment industry’s SRO is seeking comment from stakeholders for suggestions on how to improve various aspects of its operations
- By: James Langton
- March 21, 2017 February 15, 2019
- 15:25
House not lived in, tax court finds
New Housing Rebate denied on failure to show home was primary residence
- By: Patricia Chisholm
- March 21, 2017 February 15, 2019
- 14:05
BCSC receives funds in Kuit case
$76,000 now available to investment scheme victims
- By: James Langton
- March 21, 2017 February 15, 2019
- 13:55
Securities regulators to assess climate change-related risks
The CSA says that it will be seeking “high quality disclosure of material information”
- By: James Langton
- March 21, 2017 February 15, 2019
- 12:25