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
Latest news in From the Regulators
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
Regulators approve briefer quiet periods
Changes ensure level playing field for research report dissemination between Canada and the U.S.
- By: James Langton
- June 2, 2016 December 19, 2017
- 15:45
SEC appoints cybersecurity senior advisor
Christopher Hetner will be responsible for co-ordinating efforts across the agency
- By: James Langton
- June 2, 2016 December 19, 2017
- 14:00
ESMA assesses usefulness of distributed ledger technologies
European securities regulators launch consultation with discussion paper
- By: James Langton
- June 2, 2016 December 19, 2017
- 09:20
RESP dealer employees plead guilty to misuse of confidential information
Two involved in the scheme received conditional sentences while another two will be sentenced later this summer
- By: James Langton
- June 1, 2016 December 19, 2017
- 10:40
OSC seeks members for new Seniors Expert Advisory Committee
The committee is expected to provide input on securities policy and operational developments that affect senior investors
- By: James Langton
- June 1, 2016 December 19, 2017
- 09:45
Regulators commit to greater collaboration on global accounting standards
IOSCO, IFRS Foundation to strengthen co-operation in the development and implementation of IFRS Ssandards
- By: James Langton
- June 1, 2016 December 19, 2017
- 09:30
CGI to replace CSA databases with integrated system
A single system will replace SEDAR, SEDI, NRD, the cease-trade order database, and the national registration search and discipline list
- By: James Langton
- May 31, 2016 December 19, 2017
- 13:50
Role of audit committees growing: IOSCO
A new survey finds almost all jurisdictions require public companies to have independent audit committees that act in the interest of investors
- By: James Langton
- May 31, 2016 December 19, 2017
- 13:00
IIROC addresses seniors’ issues
Guidance says dealers and reps have an important role in preventing financial exploitation
- By: James Langton
- May 31, 2016 December 19, 2017
- 12:40
IIROC updates CRM2 FAQ
Document provides guidance on the new reports that dealers must start providing to clients
- By: James Langton
- May 30, 2016 December 19, 2017
- 16:00
ASC to enact new fee rule
The new model won’t push fees up as much as initially expected
- By: James Langton
- May 30, 2016 December 19, 2017
- 14:25
NSSC will automatically recognize orders in other provinces
Measure will further streamline enforcement processes
- By: IE Staff
- May 30, 2016 December 19, 2017
- 13:25
IIROC suspends and fines advisor for conflict of interest
Although no clients lost money because of the advisor’s recommendations, an IIROC hearing panel said conflicts cannot be tolerated
- By: James Langton
- May 27, 2016 December 19, 2017
- 15:30
Former CIBC rep fined and banned for misconduct
An MFDA hearing panel says the full penalty matches the seriousness of the allegations, which were theft and borrowing from clients
- By: Tessie Sanci
- May 27, 2016 December 19, 2017
- 14:40
MFDA bans and fines rep for misappropriation
Carla-Marie Aksomitis was found to have stolen approximately $119,000 from a total of 29 clients with Royal Mutual Funds and Royal Bank of Canada
- By: Tessie Sanci
- May 27, 2016 December 19, 2017
- 12:00
ESMA issues consulting paper on benchmark regulation
The comment period is open until June 30
- By: James Langton
- May 27, 2016 December 19, 2017
- 09:30
U.S. program focuses on preventing elder investment fraud
Medical professionals in New York state will be educated to recognize if their elderly patients are victims of fraud — and how to report it
- By: James Langton
- May 26, 2016 December 19, 2017
- 14:00
Prepare for T+2 settlement, CSA tells firms
Canada to adopt T+2 settlement on Sept. 5, 2017
- By: James Langton
- May 26, 2016 December 19, 2017
- 13:00
IIROC to deal with significant issues in the year ahead
The SRO’s new strategic plan points out it will look at a possible “best interest” standard and regulatory restructuring, among other key issues
- By: James Langton
- May 26, 2016 December 19, 2017
- 12:30
First phase of a global code of conduct for currency markets published
Principles aim to improve behaviour in a sector that has been hit with trading scandals in recent years
- By: James Langton
- May 26, 2016 December 19, 2017
- 11:00
NSSC appoints two new commissioners
Veteran advisor Kenneth Wheelans and long-time regulator Shirley Lee to serve two-year terms
- By: James Langton
- May 26, 2016 December 19, 2017
- 09:15
Shadow-banking supervision needs work: FSB
Investment funds represent the majority of shadow banking assets, and have seen the fastest growth in recent years
- By: James Langton
- May 25, 2016 December 19, 2017
- 11:30
Over 55s at heightened risk of fraud, says U.K. regulator
Retirees report a sharp rise in the volume of unsolicited investment calls
- By: James Langton
- May 25, 2016 December 19, 2017
- 09:30