MFDA names new chairman
Steven Donald of Assante is the SRO’s new chairman of the board while Christopher Nicholls takes over the role of vice chairman
- By: Tessie Sanci
- December 7, 2015 December 19, 2017
- 11:00
Latest news in From the Regulators
ESMA seeks retail representation for shareholder advisory group
Group advises ESMA on issues related to prospectuses, transparency, corporate governance and takeover bids
- By: James Langton
- December 7, 2015 December 19, 2017
- 08:30
Octagon Capital declared bankrupt; firm suspended
EY to initiate transfer of customer accounts to other dealers “as soon as possible,” CIPF says
- By: James Langton
- December 7, 2015 December 19, 2017
- 08:00
AMF sanctions Scotia Life
Insurer offered accidental death and hospitalization insurance products through employees of a telemarketing firm
- By: James Langton
- December 4, 2015 December 19, 2017
- 16:50
European regulators mull intervention on robo-advisors
Discussion paper analyzes the benefits and risks robo-advisors present for investors and the financial services sector alike
- By: James Langton
- December 4, 2015 December 19, 2017
- 12:30
New directors approved at MFDA annual general meeting
Members approve rule amendments
- By: James Langton
- December 3, 2015 December 19, 2017
- 18:30
CSA to require exempt-market filings be made on SEDAR
The CSA has a project underway to create a single, integrated electronic filing system for exempt-market filings
- By: James Langton
- December 3, 2015 December 19, 2017
- 14:00
CSA introduces new requirements for clearing agencies
Eight provincial securities regulators have also signed an MOU that sets out how they will oversee clearing agencies and trade repositories
- By: James Langton
- December 3, 2015 December 19, 2017
- 13:55
FCA to require insurers to publish details of last year’s premium
U.K. regulators are trying to prompt consumers to shop around for insurance through a behavioural “nudge”
- By: James Langton
- December 3, 2015 December 19, 2017
- 10:00
NSSC bans former mutual fund salesperson
Ex rep admits to diverting money from clients, making misleading statements
- By: James Langton
- December 2, 2015 December 19, 2017
- 14:50
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
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