Certain uses of distributed ledger technology may trigger registration requirements, or the obligation to file a prospectus, the regulator states
However, the structure of corporate bond markets has shifted significantly in recent years due to several factors, IOSCO reports
Robert Hutchison and Mark Sandler both began two-year terms with the country’s largest regulator on Feb. 2
The candidates would fill upcoming vacancies on the panel as several members’ appointments are due to expire in May and October
Canada’s banks will now have until Jan. 1, 2019 to comply with new liquidity requirements of the Basel III reforms
RegHackTO revealed the importance of AI, open access to data and the potential of distributed ledger technology, new OSC report states
State regulators lobby for establishing a fiduciary duty standard
A review of trading commission expenditures by U.K. investment managers reveals poor practices are still common in the industry
Investor advocate to hold summit
There is little appetite among global policymakers to back away from recent reforms
Website launched to raise awareness and protect Canadians from binary options scams
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…
March is Fraud Prevention Month in Canada
Proposed extension to June 9 will give the U.S. government an opportunity to review the rule’s impact
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…
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…
The SRC outlines its view of the essential ingredients of a safe and sound financial system
DLT arrangements could help enhance market transparency and risk management, but there could be negative implications to consider
The historical trading data is intended to encourage academic research on bond markets
The rise of no-contest settlements in Ontario saw the total amount of money returned to investors almost triple to about $350 million from $111.7 million…
The regulator is following the lead many foreign regulators have taken to extend the deadline for firms to comply with certain new requirements
All nine Supreme Court justices dismissed appeals from Ronald Aitkens and Jeremy Peers, who are both facing Securities Act charges in two unrelated cases
The guidance aims to address the “unique issues” robo-advisors raise while the bulletin aims to alert investors to several issues they should consider
$120,000 now available to investment scheme victims