OSFI to streamline its approach to corporate governance
The federal financial services regulator plans to begin consultations with the industry this fall
- By: James Langton
- June 15, 2016 December 19, 2017
- 06:30
Latest news in From the Regulators
Securities lawyer loses appeal against findings of misconduct
Joe Groia's long-standing battle in the Bre-X case has resulted in a split decision by the Ontario Court of Appeal
- By: James Langton
- June 14, 2016 December 19, 2017
- 13:40
B.C. regulator finds problems old and new
BCSC compliance report card reveals recurring deficiencies in relationship disclosure
- By: James Langton
- June 14, 2016 December 19, 2017
- 09:20
IIROC calls for MRAC nominations
Nominations for the SRO’s market rules advisory committee are due July 29
- By: James Langton
- June 13, 2016 December 19, 2017
- 14:25
AMF creates fintech working group
The group will examine technological innovations in the financial sector and anticipate regulatory and consumer protection issues
- By: James Langton
- June 13, 2016 December 19, 2017
- 13:30
Voluntary Disclosure Program fails to shield taxpayers
Owners of foreign property who consistently failed to file lose appeal
- By: Patricia Chisholm
- June 13, 2016 December 19, 2017
- 10:45
OSC dismisses advisor’s appeal of IIROC sanctions
Paul Darrigo sought to appeal the ruling of liability and the penalties that were handed down by an IIROC hearing panel
- By: James Langton
- June 10, 2016 December 19, 2017
- 14:50
Regulators approve IIROC rule consolidation
The single set of rules replaces two different sets of enforcement rules for dealers and markets
- By: James Langton
- June 10, 2016 December 19, 2017
- 06:30
SEC offers US$17-million whistleblower reward
The program has paid out more than US$85 million to 32 whistleblowers since it was launched in 2011
- By: James Langton
- June 9, 2016 December 19, 2017
- 16:30
OSC prepared to go it alone with best interest standard
The Ontario regulator has released its 2016-2017 statement of priorities
- By: James Langton
- June 9, 2016 December 19, 2017
- 13:30
U.S. authorities issue cybersecurity bulletin
FFIEC urges financial institutions to safeguard interbank messaging and payment networks
- By: James Langton
- June 9, 2016 December 19, 2017
- 06:30
Proof of “primary residence” needed for New Housing Rebate: TCC
Tax Court of Canada finds that family were visiting from China, not residing in new home, in disallowing $24,000 rebate
- By: Patricia Chisholm
- June 8, 2016 December 19, 2017
- 15:00
OSC reaches settlement in tipping case
The former accountant with KPMG has agreed to seven-year ban and monetary penalties after admitting to insider trading and tipping
- June 8, 2016 December 19, 2017
- 12:10
ASIC consults on a regulatory sandbox licensing exemption
Australian regulator is committed to facilitating innovation in financial services
- By: James Langton
- June 8, 2016 December 19, 2017
- 11:45
FINRA sanctions brokerage for unsuitable sales of non-traditional ETFs
Oppenheimer & Co. failed to enforce written policies
- By: James Langton
- June 8, 2016 December 19, 2017
- 11:00
Morgan Stanley failed to safeguard customer data, SEC finds
Firm agrees to pay US$1 million penalty
- By: James Langton
- June 8, 2016 December 19, 2017
- 03:30
IOSCO publishes guidance on using non-GAAP accounting measures
New guidelines are being introduced so that issuers provide disclosure that does not mislead investors
- By: James Langton
- June 7, 2016 December 19, 2017
- 09:25
OSC charges man with fraud
Evgueni Ivonov Todorov has also been charged with unregistered trading, trading with a prospectus and trading while prohibited
- By: James Langton
- June 7, 2016 December 19, 2017
- 06:35
FCAA warns of fraudsters targeting Canadians for identity theft
The scam involves an individual claiming to be a representative of the U.S. Treasury Department’s Financial Crimes Enforcement Network
- By: James Langton
- June 6, 2016 December 19, 2017
- 14:05
FSB issues guidance on resolution plans for important insurers
The guidance sets out factors for systemically important insurers to consider in devising an effective resolution strategy
- By: James Langton
- June 6, 2016 December 19, 2017
- 10:15
U.S., European regulators to enhance oversight of central counterparties
An MOU covers ESMA's assessment of regulatory compliance by U.S. clearing firms seeking to become recognized as CCPs in Europe
- By: James Langton
- June 6, 2016 December 19, 2017
- 09:40
BoC issues guidance on market infrastructure risks
Revisions simplify standards and improve consistency
- By: James Langton
- June 3, 2016 December 19, 2017
- 15:50
Appeal court dismisses advisor’s appeal in case involving Sun Life
Doug Kechnie had sued the life insurer claiming it improperly cut off commissions that were scheduled to be paid out over 10 years
- By: James Langton
- June 3, 2016 December 19, 2017
- 11:00
Appeal could mean significant changes for securities enforcement
Issues include trial by jury for securities offences and treatment of monetary penalties
- By: Patricia Chisholm
- June 3, 2016 December 19, 2017
- 10:20
Fed to unveil stress test results later this month
The tests aim to assess whether financial institutions have sufficient capital to absorb losses and continue operating during stressful economic and financial conditions over a…
- By: James Langton
- June 3, 2016 December 19, 2017
- 08:30