The panels dealing with the CSA’s proposed reforms will focus on the proposed best interest standard as well as the other key targeted reforms
The new regulatory framework aims to clarify the behaviours and standards expected of benchmark administrators and contributors
The firm admitted to shortcomings in its oversight of several advisors after they ran into regulatory trouble of their own
The event is expected to produce apps that provide solutions to emerging issues in several notable areas
IFRS 9 introduces a new impairment model based on expected credit losses, and introduces new requirements on the classification of financial assets
The move is being made in anticipation of “the potential for increased volatility” resulting from Donald Trump’s election victory
The new financial services regulatory authority will replace FSCO and DICO and “modernize and strengthen the regulator of financial services and pensions”
The half-day meeting will feature two panel discussions
A new report says these sorts of services create benefits and challenges for payments systems
Testing will begin shortly, U.K. regulator says
Discussion paper sets out three alternatives
The SRO points out that the advice these firms are providing is helping to fill the “advice gap” some clients may be experiencing
The province is the latest to join the agreement, which Alberta, B.C., Ontario and Quebec originally signed on to in 2014
Although the U.S. regulator will have to act on the prospect of a uniform fiduciary duty, it’s important not to curb investors’ access to advice
As part of the agreement, the two organizations will be able to improve information sharing and co-operation to protect investors
The regulators have agreed to support startups that are seeking to open up shop in one another’s markets
New guidance gives financial services firms advice on how legal requirements apply to cyber-events and online crime
The AMF has participated in several IADI bodies over the years and the Quebec regulator will host the organization’s annual meeting next year
The FAC will advise staff of the newly created OSC LaunchPad on developments in fintech and the unique challenges faced by start-ups in the securities…
The case stemmed from an OSC ruling in 2015 that the defendants had received inside information concerning pending merger deals
Suitability continues to be a major issue as it accounted for half of the prosecutions against individual registrants in 2015
Yu Qiong (Kevin) Li, who was formerly with TD Watherhouse Canada, was also banned permanently and ordered to pay costs of $15,000
Alberta joins several other provinces in allowing small firms to raise capital through equity crowdfunding