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
Latest news in From the Regulators
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
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