In part, this was because the insurance regulator focused its compliance examinations in the latest year on agents with a high or medium risk of…
Local laws could limit a firm’s ability to understand who their customers are
The regulator is looking for applications from senior industry personnel with product development experience
The Quebec regulator’s new strategic plan points out that factors such as fintech and intensifying competition in financial services will guide its work
Andrew Kriegler also pointed out during a discussion that the words “best interest” are already an integral component of IIROC’s rules
Decision finds that IIROC did not err in its decision to fine and ban the former portfolio manager for five years
FSCO says broker Gagandeep Duggal and agent Zaheer Mohammad were found to be in non-compliance
Carriers had to provide a wide range of information on the business they conducted during the previous calendar year by May 1
The SRO brought a record 111 proceedings against both advisors and dealers and also levied $21.1 million in fines last year
The Australian regulator will establish a new regtech industry liaison network
The agreement delegates responsibility for licensing, registering and supervising certain PRPPs to OSFI
The mutual fund firm will be able to finance educational events that Quebec-based lobby group for advisors, PAFSA, is hosting
Given proposed new rules in Colorado and rules set in New York State, “it is likely that other states will issue cybersecurity requirements as well”
The panel discussion was recorded at the 2016 IIROC compliance conference in Toronto
Central banks are calling on FX industry firms to bring their trading practices in line with the principles of the code and to support its…
Regulators must have the courage to foster a responsive regulatory climate while protecting investors
New MFDA report also finds that a switch to direct-pay arrangements will “have a greater impact on those smaller advisors who are more reliant on…
Amendments strengthen anti-retaliation protections
Regulators to examine the problem of employees that leave one firm amid suspected misconduct, only to turn up at another firm in the industry
But the DOL will continue to analyze the issues raised in a Trump administration order— and it’s possible the rule will face further changes
A monthly update on recent regulatory events and approaching deadlines
The SRO’s proposed changes may result in higher margin requirements for certain institutional customers
LabCFTC aims to foster “responsible innovation” among fintech innovators and provide information to help inform policy development
Proposed guidance seek to clarify regulators’ expectations