The OSC’s former chairman and CEO says the federal-provincial regulatory body would reduce the current fragmentation in regulation and allow a better sharing of resources…
Stuart McKinnon, founder of Pro-Financial Management Inc., sought to dismiss allegations against him involving principal-protected notes
Quebec, Newfoundland sign revised agreement
Canadian authorities are adhering to the principles for most types of infrastructure, but they are not fully compliant with all principles for all firms
Guideline takes effect on Jan. 1, 2016
New guidelines aim to enhance investor protection
Compliance with the new Basel disclosure requirements “is still work in progress”, says EBA report
Updated rules aim to improve regulatory transparency for life insurers
CCIR framework intended to support and implement more collaborative and co-operative supervisory activities
Financial regulators in the U.K. are considering whether small business clients should be treated more like retail customers
White paper opens the door to SRO merger and raises complex issues that will require a thorough policy debate, some say
Shareholders solicited to purchase portfolio research reports that were of no value, OSC alleges
European, Hong Kong regulators to share information on derivatives trading activity
Suncor has called the for the creation of a new shareholder rights plan
SRO white paper recommends securities dealers be allowed to hire reps limited to selling mutual funds and ETFs
Larger banks wouldn't have to incorporate the supplementary leverage ratio into their capital plans and stress testing until the 2017 cycle
HollisWealth reps sold exempt products to clients for almost eight years without properly ensuring their eligibility
Organizations that make up the financial market infrastructure are urged to ensure they have strong cyber defences in place
Reg AT would introduce new safeguards, mandate transparency and expand registration requirements for automated traders
New Brunswick regulator’s hearing finds that Dean Fletcher took clients’ money but did not purchase the insurance they were promised
Shaida Bandali accessed patient information of new mothers and sold a list to scholarship plan dealers
The Central Bank of Ireland warns that CFDs are unsuitable for investors with a low-risk appetite
U.K. consultation paper calls for feedback on supporting new technology to help financial firms meet their regulatory obligations
Deception reveals compliance violations
NSSC gets more tools to conduct compliance and enforcement activities