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
Latest news in From the Regulators
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
IIROC guides help dealers boost cybersecurity preparedness
Active management of cyber risk is critical to the stability of firms and the protection of investors
- By: James Langton
- December 21, 2015 December 19, 2017
- 13:00
Resource stocks lift TSX after Thursday’s drop
Dow plunges more than 360 points
- By: Alexandra Posadzki
- December 18, 2015 December 19, 2017
- 17:15
IIROC suspends Jacob Securities
Clients are advised to contact the firm’s carrying broker directly
- By: James Langton
- December 18, 2015 December 19, 2017
- 16:15
Compliance Calendar for Advisors
New this week: Cybersecurity; Investor protection reforms
- By: IE Staff
- December 18, 2015 December 19, 2017
- 15:50
Report outlines best practices regarding seniors and DSC mutual funds
MFDA compliance review finds lack of consistency across mutual fund dealers
- By: James Langton
- December 18, 2015 December 19, 2017
- 15:35
MFDA mulls expanded CRM2 disclosure
The regulator is seeking feedback on whether to include costs imposed by fund managers
- By: James Langton
- December 18, 2015 December 19, 2017
- 15:25
J.P. Morgan to pay US$267 million for disclosure failures: SEC
Wealth management subsidiaries fail to disclose conflicts of interest
- By: James Langton
- December 18, 2015 December 19, 2017
- 14:05
FINRA fines Fidelity Brokerage Services US$1 million for supervisory failures
Firm settles allegations it failed to detect fraud targeting seniors
- By: James Langton
- December 18, 2015 December 19, 2017
- 13:00
Global banking regulators issue guidance on loan losses
Principles set out supervisory expectations for banks
- By: James Langton
- December 18, 2015 December 19, 2017
- 10:15
NASAA launches seniors-focused website
ServeOurSeniors.org provides seniors-related resources investors, caregivers, the industry and policymakers
- By: James Langton
- December 17, 2015 December 19, 2017
- 16:55
Fund managers may face guidance on managing liquidity
IOSCO report examines examines investment fund liquidity management tools in 26 jurisdictions around the world
- By: James Langton
- December 17, 2015 December 19, 2017
- 11:15
Freeze order issued against Quebec insurance rep
Suspension follows AMF investigation
- By: James Langton
- December 17, 2015 December 19, 2017
- 10:30
ESMA sees continued high levels of risk in 2016 financial markets
Elevated market risks driven by low interest rates, high asset values, the potential spill-over from heightened emerging market risks, and fiscal and political developments within…
- By: James Langton
- December 17, 2015 December 19, 2017
- 10:00
Revised IIROC CRM FAQ document addresses suitability
Document aims to clarify firms’ obligations under the first phase of the Client Relationship Model rules
- By: James Langton
- December 17, 2015 December 19, 2017
- 07:30
FINRA task force recommends improving securities arbitration system
Report features 51 recommendations and calls on FINRA to invest more heavily on the arbitrators that hear disputes
- By: James Langton
- December 16, 2015 December 19, 2017
- 16:05