The new program promises to pay rewards of up to $5 million for original information of industry misconduct that results in successful enforcement action
Province joins Alberta, Quebec and Nova Scotia in adopting this approach to improving investor protection
The information should provide investors more transparency
All forms of financial advice should required to put consumers’ interests first, report says
The revised standard sets out additional criteria for differentiating the capital treatment of “simple, transparent and comparable” securitizations from other sorts of transactions
Areas highlighted for attention include investor protection, market fairness, enforcement and technology
Proposals include stronger protection for client assets, clarity for EMD activities and relief from certain CRM2 requirements
Regulators issue consultation paper
A new report details accomplishments under the regulators’ three-year business plan
Electronic delivery is the most efficient method of delivering documents, IIROC says
The proposed rule would provide exemptions from prospectus requirements for distributions of securities outside of the country
Under the proposed rule, reps must receive specific training on dealers’ policies and procedures that deal with advising and transacting in ETFs
The new measures, which follow a similar move adopted in Alberta last year, are intended to protect investors in Quebec
Capital review gives 30 institutions green light, but Morgan Stanley must submit new plan
The new, principles-based guideline formalizes OSFI’s expectations for banks and insurers to address these risks
The settlement is as a result of allegations that Sterling failed to investigate a client complaint and supervise a couple of reps properly
The US$6-million fine stems from the firm’s deficient reporting of trading data
The guidance calls on firms to undertake rigorous testing and to instil a culture of cyber risk awareness, among other things
The new rule aims to minimize client and investor harm in case a firm cannot prevent major disruptions to its operations
Caroline Meyers has been ordered to spend two years in jail while her co-accused received an 18-month conditional sentence and permanent ban
IOSCO and CPMI cite progress toward stability of market infrastructures
The provincial regulator says the firm was never registered in B.C. and that it did not take reasonable precautions to avoid selling securities to B.C.…
Proposed changes would amend the rules to permit the annual assessment of PRPPs on the same basis as other private pension plans
International bank calls for rebalancing of policy and structural reforms to encourage long-term growth
Conference brings together leaders in digital finance and capital markets