Brochure outlines benefits of working with an MFDA member
The goal is to promoted client awareness
- By: IE Staff
- December 2, 2015 December 19, 2017
- 10:35
Latest news in From the Regulators
New York proposes anti-money laundering requirement
Senior executives at financial firms would need to certify the adequacy of their systems to combat money laundering and terrorist financing
- By: James Langton
- December 2, 2015 December 19, 2017
- 09:40
IIROC hearing to consider Octagon Capital suspension
The capital deficient firm does not have a qualified CFO
- By: James Langton
- December 2, 2015 December 19, 2017
- 09:20
CCMR to play a major role in fight against financial wrongdoing: Wetston
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…
- By: Rudy Mezzetta
- December 1, 2015 December 19, 2017
- 15:05
OSC rejects motion to dismiss allegations
Stuart McKinnon, founder of Pro-Financial Management Inc., sought to dismiss allegations against him involving principal-protected notes
- By: James Langton
- December 1, 2015 December 19, 2017
- 14:50
CSA members update OBSI oversight MOU
Quebec, Newfoundland sign revised agreement
- December 1, 2015 December 19, 2017
- 14:00
Canada falls short on FMI oversight warns CPMI-IOSCO study
Canadian authorities are adhering to the principles for most types of infrastructure, but they are not fully compliant with all principles for all firms
- By: James Langton
- November 30, 2015 December 19, 2017
- 12:40
OSFI issues revised MCT guideline for P&C insurers
Guideline takes effect on Jan. 1, 2016
- By: James Langton
- November 30, 2015 December 19, 2017
- 11:15
ESMA publishes guidelines on complex debt instruments, structured deposits
New guidelines aim to enhance investor protection
- By: James Langton
- November 30, 2015 December 19, 2017
- 10:50
European bank disclosure: room for improvement
Compliance with the new Basel disclosure requirements “is still work in progress”, says EBA report
- By: James Langton
- November 27, 2015 December 19, 2017
- 15:30
OSFI issues final 2016 MCCSR guideline
Updated rules aim to improve regulatory transparency for life insurers
- By: James Langton
- November 27, 2015 December 19, 2017
- 13:30
Insurance regulators committed to greater collaboration
CCIR framework intended to support and implement more collaborative and co-operative supervisory activities
- By: James Langton
- November 27, 2015 December 19, 2017
- 11:45
FCA targets treatment of small businesses
Financial regulators in the U.K. are considering whether small business clients should be treated more like retail customers
- By: James Langton
- November 27, 2015 December 19, 2017
- 10:20
IIROC proposals could have far-reaching implications
White paper opens the door to SRO merger and raises complex issues that will require a thorough policy debate, some say
- By: James Langton
- November 26, 2015 December 19, 2017
- 14:50
Alleged boiler room operators charged with fraud
Shareholders solicited to purchase portfolio research reports that were of no value, OSC alleges
- By: James Langton
- November 26, 2015 December 19, 2017
- 14:00
ESMA, SFC sign MoU
European, Hong Kong regulators to share information on derivatives trading activity
- By: James Langton
- November 26, 2015 December 19, 2017
- 10:20
ASC to hear arguments in Suncor’s hostile takeover bid of COS
Suncor has called the for the creation of a new shareholder rights plan
- By: Lauren Krugel, The Canadian Press
- November 26, 2015 December 19, 2017
- 10:00
IIROC proposes personal corporations for advisors
SRO white paper recommends securities dealers be allowed to hire reps limited to selling mutual funds and ETFs
- By: James Langton
- November 25, 2015 December 19, 2017
- 16:30
Fed approves final rule to modify capital plan, stress testing rules
Larger banks wouldn't have to incorporate the supplementary leverage ratio into their capital plans and stress testing until the 2017 cycle
- By: James Langton
- November 25, 2015 December 19, 2017
- 12:35
MFDA reaches settlement with HollisWealth
HollisWealth reps sold exempt products to clients for almost eight years without properly ensuring their eligibility
- By: James Langton
- November 24, 2015 December 19, 2017
- 19:25
Global regulators issue guidance on cyber resilience
Organizations that make up the financial market infrastructure are urged to ensure they have strong cyber defences in place
- By: James Langton
- November 24, 2015 December 19, 2017
- 15:35
CFTC’s proposed new rules target automated trading
Reg AT would introduce new safeguards, mandate transparency and expand registration requirements for automated traders
- By: James Langton
- November 24, 2015 December 19, 2017
- 15:25
FCNB pulls insurance broker’s licence
New Brunswick regulator’s hearing finds that Dean Fletcher took clients’ money but did not purchase the insurance they were promised
- By: James Langton
- November 24, 2015 December 19, 2017
- 14:50
Former hospital employee fined and sentenced for unregistered trading
Shaida Bandali accessed patient information of new mothers and sold a list to scholarship plan dealers
- By: James Langton
- November 24, 2015 December 19, 2017
- 14:40
Three-quarters of CFD clients lost money, study finds
The Central Bank of Ireland warns that CFDs are unsuitable for investors with a low-risk appetite
- By: James Langton
- November 23, 2015 December 19, 2017
- 15:00