MFDA to regulate reps’ use of financial planner title
Most of the 29 comments the SRO received on a consultation paper contemplating rule amendments were supportive of the idea
- By: James Langton
- January 13, 2016 December 19, 2017
- 10:15
Latest news in From the Regulators
OSFI deputy outlines revised capital requirements for banks
Revised requirements will be tied to housing prices and household debt levels
- By: James Langton
- January 12, 2016 December 19, 2017
- 16:00
MFDA bans and fines advisor $500,000
Former HollisWealth advisor admitted to soliciting and accepting more than $2 million from clients and others and depositing those funds into accounts under his control
- By: Tessie Sanci
- January 12, 2016 December 19, 2017
- 12:35
Court dismisses bid to overturn BCSC sanctions
British Columbia’s top court sides with provincial regulator in newsletter case
- By: James Langton
- January 11, 2016 December 19, 2017
- 15:10
SEC announces 2016 compliance priorities
New areas of focus include ETFs, variable annuities and liquidity controls
- By: James Langton
- January 11, 2016 December 19, 2017
- 14:20
Central bankers endorse revised market risk framework
The Basel Committee’s oversight body also discussed the final design and calibration of the leverage ratio
- By: James Langton
- January 11, 2016 December 19, 2017
- 14:00
ESMA, provincial regulators sign co-op agreements on central counterparties
Terms include the sharing of information
- By: James Langton
- January 7, 2016 December 19, 2017
- 13:00
OBSI facing independent review
The purpose of the evaluation is to determine whether OBSI is fulfilling its obligations as a dispute resolution service for the investment industry
- By: James Langton
- January 6, 2016 December 19, 2017
- 13:15
FASB issues new guidance on financial assets
The aim is to provide investors with more useful information
- By: James Langton
- January 5, 2016 December 19, 2017
- 14:00
FINRA to focus on supervision, conflicts of interest in 2016
A letter from the U.S. self-regulatory organization highlights areas of concern
- By: James Langton
- January 5, 2016 December 19, 2017
- 11:30
CFTC approves proposed rule providing an alternative to fingerprinting for foreign nationals
Foreign nationals seeking CFTC registration would undergo a criminal background check
- By: James Langton
- January 4, 2016 December 19, 2017
- 17:15
IIROC looking for candidates for CDS board
Nomination will be considered in March
- By: James Langton
- January 4, 2016 December 19, 2017
- 16:40
CSA extends approval for CanPX
The firm’s approval as an information processor for corporate debt securities was set to expire on Dec. 31, 2015
- By: James Langton
- January 4, 2016 December 19, 2017
- 14:00
MaRS VX strengthens compliance systems
OSC extends exemption for impact investing portal
- By: James Langton
- December 24, 2015 December 19, 2017
- 11:00
CDCC proposes rule changes
The changes are intended to bring the rules in line with principles developed by global regulators
- By: James Langton
- December 23, 2015 December 19, 2017
- 13:40
IAP calls for best-interest standard
Panel says investors are paying the price of regulatory inaction
- By: James Langton
- December 23, 2015 December 19, 2017
- 11:00
IOSCO reports on business continuity plans for trading venues and intermediaries
Reports aim to help investment firms withstand catastrophic events
- By: James Langton
- December 22, 2015 December 19, 2017
- 16:40
IIROC terminates Edgecrest’s membership
The self-regulatory organization had suspended the firm in September
- By: James Langton
- December 22, 2015 December 19, 2017
- 15:50
MFDA bans former advisor for 10 years
Grant Manning engaged in personal financial dealings with a client, misled dealers
- By: James Langton
- December 22, 2015 December 19, 2017
- 14:15
Ex advisor banned for misappropriating funds from clients
Money from promissory notes used to finance drug addiction
- By: James Langton
- December 22, 2015 December 19, 2017
- 13:00
MFDA releases reasons for penalties against advisor
Fine and temporary prohibition against Edward Rempel intended as deterrent
- By: Tessie Sanci
- December 22, 2015 December 19, 2017
- 12:30
NASAA announces top investor threats
Investors reminded to approach unsolicited offers with caution
- By: James Langton
- December 22, 2015 December 19, 2017
- 11:00
Manitoba court sentences man to one year in jail for trading without registration
James Yaworski pleads guilty to 12 counts of breaching provincial securities law
- By: James Langton
- December 21, 2015 December 19, 2017
- 16:30
Crowdfunding must balance firms’ needs with investor protection: IOSCO
Regulators should pay attention to the additional risks related to crowdfunding
- By: James Langton
- December 21, 2015 December 19, 2017
- 16:10
FINRA, SEC issue investor alert on securities-backed lines of credit
SBLOCs carry risks, including potential tax consequences
- By: James Langton
- December 21, 2015 December 19, 2017
- 15:05