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
Latest news in From the Regulators
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
FCA review finds shortcomings
A review of trading commission expenditures by U.K. investment managers reveals poor practices are still common in the industry
- By: James Langton
- March 3, 2017 February 15, 2019
- 11:30
SEC to research effectiveness of retail disclosure
Investor advocate to hold summit
- By: James Langton
- March 2, 2017 February 15, 2019
- 15:00
U.S. efforts to undo regulatory reforms likely to be limited: Russell
There is little appetite among global policymakers to back away from recent reforms
- By: James Langton
- March 2, 2017 February 15, 2019
- 11:00
CSA task force to tackle binary options
Website launched to raise awareness and protect Canadians from binary options scams
- By: James Langton
- March 2, 2017 February 15, 2019
- 10:45
Advocis encouraging advisors, clients to oppose commissions ban
The association is opposed to the idea of banning embedded commissions and is asking advisors and clients to contact their MPPs and make their voices…
- By: James Langton
- March 2, 2017 February 15, 2019
- 10:20
U.K. regulator reveals tactics investment fraudsters use to deceive
March is Fraud Prevention Month in Canada
- By: James Langton
- March 1, 2017 February 15, 2019
- 14:15
U.S. Labor Dept. delays implementation of fiduciary rule
Proposed extension to June 9 will give the U.S. government an opportunity to review the rule’s impact
- By: James Langton
- March 1, 2017 February 15, 2019
- 13:55
BCSC fines sisters almost $10 million for role in real estate fraud schemes
The schemes involved illegal distributions and multiple acts of fraud totalling close to $12 million as the sisters were personally enriched by more than $2…
- By: James Langton
- February 28, 2017 February 15, 2019
- 15:40
IIROC lays $80,000 fine, five-year ban on former advisor
Brian McCullough accepted a large monetary gift from an elderly client without telling his firm and didn’t inform the firm when he was later sued…
- By: James Langton
- February 28, 2017 February 15, 2019
- 11:25
Former regulators defend global reforms
The SRC outlines its view of the essential ingredients of a safe and sound financial system
- By: James Langton
- February 27, 2017 February 15, 2019
- 15:45
New BIS report explores impact of blockchain technology
DLT arrangements could help enhance market transparency and risk management, but there could be negative implications to consider
- By: James Langton
- February 27, 2017 February 15, 2019
- 12:50