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
Latest news in From the Regulators
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
FCA seeks input on “RegTech”
U.K. consultation paper calls for feedback on supporting new technology to help financial firms meet their regulatory obligations
- By: James Langton
- November 23, 2015 December 19, 2017
- 11:00
Identity theft leads to advisor’s suspension
Deception reveals compliance violations
- By: James Langton
- November 23, 2015 December 19, 2017
- 10:15
Amendments harmonize N.S. securities legislation to national standard
NSSC gets more tools to conduct compliance and enforcement activities
- By: IE Staff
- November 20, 2015 December 19, 2017
- 12:00
Nova Scotia makes changes to PRPP legislation
The amendments allow money from PRPPs to flow into other retirement savings plans
- By: IE Staff
- November 19, 2015 December 19, 2017
- 13:45
IIROC, CSF collaborate to strengthen investor protection
The two investment industry SROs sign a disciplinary information-sharing agreement in Quebec
- By: James Langton
- November 19, 2015 January 22, 2018
- 09:30
SEC proposes new rules for dark pools
Proposals aimed at delivering greater transparency to investors
- By: James Langton
- November 19, 2015 December 19, 2017
- 07:30
FINTRAC sanctions Montreal firm
Compliance deficiencies found at money services business
- By: James Langton
- November 18, 2015 December 19, 2017
- 16:35
FCA to review competition in U.K. asset management industry
The study will aim to understand exactly how asset managers compete to deliver value
- By: James Langton
- November 18, 2015 December 19, 2017
- 11:40
Banks to face higher capital requirements: report
Proposed revisions to market risk rules would increase the overall minimum capital requirement under the Basel III capital rules
- By: James Langton
- November 18, 2015 December 19, 2017
- 11:20
IIROC extends deadline for unwinding existing trustee, executorship and POA arrangements
Investment dealers get nine-month extension
- By: James Langton
- November 18, 2015 December 19, 2017
- 10:40
SEC charges two Canadians in alleged pump and dump scheme
The U.S. regulator alleges the scheme touted the stock of Jammin’ Java Corp., a company started by a son of the late Bob Marley
- By: James Langton
- November 17, 2015 December 19, 2017
- 15:25
Financial firms in New Zealand falling short of expectations
Although improvements have been made, regulator finds that plenty remains to be done to reach expected standard of conduct
- By: James Langton
- November 17, 2015 December 19, 2017
- 12:45
Ontario pair charged with fraud, unregistered trading and illegal distribution
Approximately $1.2 million was raised from the sale of I-On securities
- By: James Langton
- November 16, 2015 December 19, 2017
- 14:01
U.S. charges former SEC compliance examiner
Former staffer allegedly made for false holding statements about prohibited stocks
- By: James Langton
- November 16, 2015 December 19, 2017
- 12:15
ASC withdraws proceedings
Three promoters agree to pay $100,000 each to settle allegations
- By: IE Staff
- November 13, 2015 December 19, 2017
- 12:40