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
A former OCC employee downloaded a large number of files onto two removable thumb drives and has since been unable to locate the devices
The regulator dismissed Krishna Sammy’s application after failing to meet the new deadline of Oct. 15
Henry Sojka, who was an advisor with now-defunct Union Securities, also failed to co-operate with IIROC’s investigation into his actions
The three firms also agreed to make a $3-million payment to the OSC and to pay $50,000 in costs for their role in overcharging clients
IOSCO reports on implementation of G20/FSB recommendations
European financial regulators’ new guidance focuses on ensuring financial services institutions’ management is up to the task
Ensuring that clients come first can only improve public confidence in markets, IIROC CEO says
OCC to launch innovation office
Proposed amendments would establish minimum proficiency requirements for mutual fund reps who present themselves as planners
Proposals would require participants in a contested board election to use proxy cards that enable shareholders to vote for any candidate
Regulator revises FAQs
OSC hearing scheduled for Friday
Survey seeks comments on efforts to enhance the safety, security and resiliency of the U.S. payments system
The advisor, who has also been fined $50,000, borrowed money from a client and failed to co-operate fully with the regulator’s investigation
The Ontario regulator has laid the hammer down on Tier 1 Transaction Advisory Services, Tier 1 Mortgage and First Commonwealth Mortgage for various infractions