OSC to consider Quadrus settlement
Quadrus self-reported that its funds indirectly overcharged certain clients
- By: James Langton
- November 6, 2015 December 19, 2017
- 16:15
Latest news in From the Regulators
IOSCO addresses audit firm transparency
New report includes a guide for audit firm transparency reporting
- By: James Langton
- November 6, 2015 December 19, 2017
- 15:10
FATF outlines best practices for non-profits
Certain non-profits, such as charities, non-profits tmay be particularly vulnerable to money laundering abuse
- By: James Langton
- November 6, 2015 December 19, 2017
- 14:55
CTFC imposes record penalties in fiscal 2015
The U.S. derivatives regulator collected more than US$2.8 billion in penalties
- By: James Langton
- November 6, 2015 December 19, 2017
- 13:10
SEC awards whistleblower more than US$325,000
The award could have been higher had the whistleblower not hesitated
- By: James Langton
- November 5, 2015 December 19, 2017
- 15:30
OSC seeks comment on proposed changes to trade repositories rule
The goal is to increase transparency and efficiency in the OTC derivatives market while aiming to preserve the anonymity of counterparties
- By: James Langton
- November 5, 2015 December 19, 2017
- 14:20
IIROC proposes amendments to membership disclosure rules
The new proposals would require dealers to include the IIROC logo on all client account statements
- By: James Langton
- November 5, 2015 December 19, 2017
- 13:40
Provinces publish crowdfunding exemption
New regime will expand ways for small companies to raise capital from a large number of investors online
- By: James Langton
- November 5, 2015 December 19, 2017
- 12:30
Ontario regulators should be merged: report
The expert panel reviewing the mandates of FSCO and DICO recommends the two organizations be replaced by a new Financial Services Regulatory Authority
- By: James Langton
- November 5, 2015 December 12, 2018
- 11:40
Deutsche Bank to pay US$258 million for violating U.S. sanctions
Bank to fire six in settlement with U.S. regulations
- By: The Associated Press
- November 4, 2015 December 19, 2017
- 14:20
Advisor fined, prohibited from “securities-related business” for three years
MFDA sanctions against Ed Rempel relate to a complaint over leveraged investing
- By: Tessie Sanci
- November 4, 2015 December 19, 2017
- 13:00
Ontario appeal court refuses to hear Alboini penalty appeal
IIROC ordered sanctions against Northern Securites and its CEO in 2012
- By: James Langton
- November 4, 2015 December 19, 2017
- 12:45
Cyber extortion attempts against financial firms are on the rise
Firms should have effective business continuity plans to respond to this type of cyber attack
- By: James Langton
- November 4, 2015 December 19, 2017
- 09:50
Client’s personality plays a role in investment process
New BCSC study finds that advisors have a role in encouraging good investment behaviour among their clients
- By: Fiona Collie
- November 3, 2015 December 19, 2017
- 17:15
FSB updates list of banks “too big to fail”
Global regulators launch new measures to promote resolvability, including effective cross-border resolution
- By: James Langton
- November 3, 2015 December 19, 2017
- 11:20
MFDA IPC pays out $7 million in WHS claims
The contingency fund for the Canadian mutual fund dealer industry is aiming to boost its reserves to $50 million over the next several years
- By: James Langton
- November 3, 2015 December 19, 2017
- 10:55
ASC proposes changes to fee schedule
Annual fees would rise for registered firms and reps
- By: James Langton
- November 2, 2015 December 19, 2017
- 14:45
Directors suggest ways to improve OSFI’s effectiveness
Regulator should refrain from always being among the first to adopt new international regulatory standards
- By: James Langton
- November 2, 2015 December 19, 2017
- 14:30
PIABA sounds alarm over merging arbitration arm back into FINRA
Proposed rule change would be a huge step backward, says PIABA president
- By: James Langton
- November 2, 2015 December 19, 2017
- 13:00
FINRA chief to retire next year
Rick Ketchum’s stewardship of the U.S. self-regulatory organization began in the aftermath of the financial crisis
- By: James Langton
- October 30, 2015 December 19, 2017
- 13:15
OSC introduces Investor Office
The new office will lead the commission’s efforts in investor education, and advocate for investor protection
- By: James Langton
- October 30, 2015 December 19, 2017
- 09:15
Woman charged with breaching OSC 15-year trading ban
The charges follow an investigation by the OSC’s Joint Serious Offences Team
- By: James Langton
- October 30, 2015 December 19, 2017
- 09:00
Sask. regulator warns seniors of investment scams
30% of the investment fraud claims that reach the FCAA’s securities enforcement branch come from seniors
- By: James Langton
- October 29, 2015 December 19, 2017
- 15:00
OSC bans, fines First Leaside duo
Former executives David Phillips and John Wilson get $18 million penalty for fraud
- By: James Langton
- October 29, 2015 December 19, 2017
- 14:40
IIROC debt market regulation fee model takes effect Nov. 1
Fees will finance debt market oversight efforts
- By: James Langton
- October 29, 2015 December 19, 2017
- 11:20