OSFI proposes rules to recover costs of overseeing PRPPs
Proposed changes would amend the rules to permit the annual assessment of PRPPs on the same basis as other private pension plans
- By: James Langton
- June 27, 2016 December 19, 2017
- 14:35
Latest news in From the Regulators
Boom/bust cycles must be tempered
International bank calls for rebalancing of policy and structural reforms to encourage long-term growth
- By: James Langton
- June 27, 2016 December 19, 2017
- 14:10
OSC Dialogue 2016 to explore disruption
Conference brings together leaders in digital finance and capital markets
- By: James Langton
- June 23, 2016 December 19, 2017
- 14:35
IIROC to publish corporate debt trading data
Regulator takes over from CanPX as information processor
- By: James Langton
- June 23, 2016 December 19, 2017
- 10:50
Global regulators eye asset management industry risks
FSB consults on proposed policy recommendations to address structural vulnerabilities from asset management activities
- By: James Langton
- June 22, 2016 December 19, 2017
- 14:40
Former rep to be penalized for unauthorized transactions
Advisor received almost $16,000 from trades executed after client’s death
- By: James Langton
- June 22, 2016 December 19, 2017
- 10:55
U.S. court orders Canadian trio to pay more than US$3 million: CFTC
Fraudulent scheme solicited C$2 million from at least 30 investors in the U.S. and Canada
- By: James Langton
- June 21, 2016 December 19, 2017
- 10:40
AMF rolls out whistleblower program
The program will protect tipsters, but will not offer monetary rewards
- By: James Langton
- June 20, 2016 December 19, 2017
- 12:45
IIROC, B.C. regulator to strengthen consumer protection
The self-regulatory organization has signed a memorandum of understanding with the Insurance Council of British Columbia
- By: James Langton
- June 20, 2016 December 19, 2017
- 11:50
CSA publishes list of protected, unprotected markets
Several markets will be considered unprotected for the purposes of the revised order protection rule
- By: James Langton
- June 20, 2016 December 19, 2017
- 11:30
U.K. regulator establishes financial advice working group
The group will pursue three of the recommendations of the U.K. Financial Advice Market Review
- By: James Langton
- June 20, 2016 December 19, 2017
- 10:50
MFDA fines former mutual fund salesman $150,000
Eric Ng has also been banned from the securities industry
- By: Tessie Sanci
- June 17, 2016 December 19, 2017
- 13:45
Bank of England to open settlement system to non-banks
The central bank has also launched a fintech accelerator program
- By: James Langton
- June 17, 2016 December 19, 2017
- 08:35
IIROC steps up membership disclosure obligations
The new policy aims to increase investor awareness about standards firms must meet and investor protections that are in place
- By: James Langton
- June 16, 2016 December 19, 2017
- 10:50
OSC to launch whistleblower program next month
Regulator prepared to pay for information that uncovers major industry misconduct
- By: James Langton
- June 16, 2016 December 19, 2017
- 10:20
Basel Committee publishes assessments on rules for systemically important banks
The committee evaluated the G-SIB and D-SIB frameworks in the United States, Europe, Japan, China and Switzerland
- By: James Langton
- June 16, 2016 December 19, 2017
- 09:20
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
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