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
Regulator takes over from CanPX as information processor
FSB consults on proposed policy recommendations to address structural vulnerabilities from asset management activities
Advisor received almost $16,000 from trades executed after client’s death
Fraudulent scheme solicited C$2 million from at least 30 investors in the U.S. and Canada
The program will protect tipsters, but will not offer monetary rewards
The self-regulatory organization has signed a memorandum of understanding with the Insurance Council of British Columbia
Several markets will be considered unprotected for the purposes of the revised order protection rule
The group will pursue three of the recommendations of the U.K. Financial Advice Market Review
Eric Ng has also been banned from the securities industry
The central bank has also launched a fintech accelerator program
The new policy aims to increase investor awareness about standards firms must meet and investor protections that are in place