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
Latest news in From the Regulators
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
European Commission to review the region’s financial services regulators
The review of the European Supervisory Authorities is looking to identify areas in which the “effectiveness and efficiency” of the regulators can be strengthened and…
- By: James Langton
- March 21, 2017 February 15, 2019
- 09:25
Expert Committee’s final report recommends new rules for advisors, financial planners
The report makes several recommendations dealing with titles and credentials that are likely to have a significant impact on many in the investment industry
- By: Patricia Chisholm
- March 17, 2017 November 9, 2019
- 14:30
Calgary man pleads guilty to fraud charges
The ASC had charged Kenneth Fowler with fraud in relation to a scheme involving the sale of securities in TIE Mortgage
- By: Beatrice Paez
- March 17, 2017 February 15, 2019
- 11:30
Investment entities need to improve disclosure practices: CSA
As a result of a recent OSC review, 12 key issuers under scrutiny made “a number of significant disclosure changes,” the CSA reports
- By: Patricia Chisholm
- March 16, 2017 February 15, 2019
- 15:15
HollisWealth reaches settlement with MFDA
The firm will pay a fine of $130,000 and costs of $20,000 after admitting to various regulatory failings
- By: IE Staff
- March 14, 2017 February 15, 2019
- 17:00
IE’s Regulatory Reporter: March 2017
A concise guide to recent regulatory initiatives and deadlines
- By: IE Staff
- March 14, 2017 February 15, 2019
- 16:30
BCSC, MFDA reach settlement with B.C. man
Winston King-Loong Kuit has been ordered to disgorge $147,500 and pay $20,000 in costs for improperly distributing securities and providing misleading information to compliance
- By: Beatrice Paez
- March 14, 2017 February 15, 2019
- 15:50
ASC sanctions Calgary man who violated previous settlement
Dwight Victor Spaetgens has been banned for 15 years and must pay an administrative penalty of $40,000 and $65,000 for the regulator’s costs
- By: Beatrice Paez
- March 14, 2017 February 15, 2019
- 11:20
IOSCO launches regulatory capacity hub for emerging markets
The new hub in Kuala Lampur will provide seminars, staff secondments and an online toolkit on risk-based supervision and enforcement to members in the Asia-Pacific…
- By: Patricia Chisholm
- March 14, 2017 February 15, 2019
- 09:50
IIROC fines former Jacob Securities CEO $100,000
Sasha Jacob has also been suspended from acting in the capacity of “ultimate designated person” for three years for failing to oversee the activities and…
- By: Beatrice Paez
- March 10, 2017 February 15, 2019
- 16:50
Former J.P. Morgan executives may face bans, fines
U.S. regulators seek to sanction executives for alleged participation in a referral hiring program that violated anti-bribery law
- By: James Langton
- March 10, 2017 February 15, 2019
- 16:35
Investment dealers adopting more stringent hiring practices: IIROC
A new report states that IIROC has observed “a dramatic decrease in the number of applicants and [reps] with solvency and integrity issues”
- By: James Langton
- March 10, 2017 February 15, 2019
- 16:15
IIROC seeks comments on latest edition of rulebook
The SRO has published a revised edition of the proposed rules, with comments due on May 12
- By: James Langton
- March 9, 2017 February 15, 2019
- 17:15
U.K., Japan strike reciprocal deal for fintechs
Agreement will help open markets for innovative companies in both countries
- By: James Langton
- March 9, 2017 February 15, 2019
- 17:10
Reckless use of social media harming investors: CSA
Investors may have suffered as a result of major stock price moves caused by early, selective, or misleading disclosure made on social media
- By: James Langton
- March 9, 2017 February 15, 2019
- 11:15
U.S. regulator calls for streamlined proficiency test
Proposal would make it easier to demonstrate and maintain qualifications
- By: James Langton
- March 8, 2017 February 15, 2019
- 16:55
Securities laws may apply to blockchain-based ventures, OSC warns
Certain uses of distributed ledger technology may trigger registration requirements, or the obligation to file a prospectus, the regulator states
- By: James Langton
- March 8, 2017 February 15, 2019
- 10:45
IOSCO finds no evidence of decline in bond liquidity
However, the structure of corporate bond markets has shifted significantly in recent years due to several factors, IOSCO reports
- By: James Langton
- March 7, 2017 February 26, 2019
- 12:00
OSC appoints veteran lawyers as commissioners
Robert Hutchison and Mark Sandler both began two-year terms with the country’s largest regulator on Feb. 2
- By: James Langton
- March 7, 2017 February 15, 2019
- 11:50
OSC seeks new members for IAP
The candidates would fill upcoming vacancies on the panel as several members’ appointments are due to expire in May and October
- By: James Langton
- March 6, 2017 February 15, 2019
- 14:00
OSFI extends Basel III deadline for Canadian banks
Canada’s banks will now have until Jan. 1, 2019 to comply with new liquidity requirements of the Basel III reforms
- By: James Langton
- March 6, 2017 February 15, 2019
- 11:55
OSC considering use of emerging technologies
RegHackTO revealed the importance of AI, open access to data and the potential of distributed ledger technology, new OSC report states
- By: James Langton
- March 6, 2017 February 15, 2019
- 11:10
NASAA announces U.S. legislative priorities
State regulators lobby for establishing a fiduciary duty standard
- By: James Langton
- March 3, 2017 February 15, 2019
- 14:15