Laurentian Bank shakes up management team
Significant restructuring includes the elimination of 15 positions along with other executives taking on new responsibilities
- By: IE Staff
- October 7, 2015 December 19, 2017
- 14:40
Latest news in From the Regulators
MFDA initiatives focus on advisors
Karen McGuinness, sr. vice president, member regulation – compliance, Mutual Fund Dealers Association of Canada, discusses three initiatives of interest to advisors: CE requirements; proficiency…
- By: Karen McGuinness
- October 6, 2015 December 19, 2017
- 13:45
UK regulators publish new rules on whistleblowing
Companies would have to present a whistleblowing report every year
- By: James Langton
- October 6, 2015 December 19, 2017
- 10:55
IIROC submits debt market regulation fee model for approval
The SRO is to begin collecting debt trading data from dealers in November
- By: James Langton
- October 5, 2015 December 19, 2017
- 14:30
N.B. online insurance licensing system ready for public testing
The new system is expected to reduce delays and increase convenience for those selling insurance products
- By: IE Staff
- October 5, 2015 December 19, 2017
- 13:20
OSC to help small companies avoid common compliance deficiencies
Free seminars designed to help small public companies understand reporting requirements
- By: James Langton
- October 5, 2015 December 19, 2017
- 13:10
ESMA sees progress in reform of EU credit rating industry
Report examines regulators' efforts to provide stronger controls around credit ratings for structured finance instruments
- By: James Langton
- October 2, 2015 December 19, 2017
- 09:45
FSB reports progress on FX benchmark reforms
But there is still room for improvement among smaller players, report says
- By: James Langton
- October 1, 2015 December 19, 2017
- 15:00
ASC sanctions two men for illegal insider trading
But a hearing panel has imposed lower penalties after receiving direction from the Alberta Court of Appeal
- By: IE Staff
- October 1, 2015 December 19, 2017
- 14:00
HFT firm to pay more than US$8M to settle SEC charges
Latour Trading charged with market structure rule violations
- By: James Langton
- October 1, 2015 December 19, 2017
- 13:00
IIROC dismisses bids to limit hearing panel
The request for a panel constituted of members whose mother tongue is English is “not recognized by law”
- By: James Langton
- October 1, 2015 December 19, 2017
- 11:15
FINRA exam takers incorrectly received failing grades
Configuration error found in new version of Series 24 supervisory exam
- By: James Langton
- October 1, 2015 December 19, 2017
- 11:00
Alberta man convicted on 20 charges of breaching securities laws
The charges stem from the illegal sale of Locate Technologies Inc. securities
- By: IE Staff
- September 30, 2015 December 19, 2017
- 13:00
CFTC issues US$290K whistleblower award
The U.S. regulator says high quality information from whistleblowers is an essential part of its enforcement program
- By: James Langton
- September 30, 2015 December 19, 2017
- 09:30
Model law may help advisors prevent financial exploitation of seniors
NASAA’s proposal, which is now out for a 30-day comment, was introduced at its annual conference in San Juan, Puerto Rico, on Tuesday
- By: James Langton
- September 29, 2015 December 19, 2017
- 16:45
Alberta man jailed for role in investment scheme
This is the province’s first sentence to be handed down in a “pump and dump” market manipulation case
- By: James Langton
- September 29, 2015 December 19, 2017
- 15:30
New B.C. pension standards provide greater flexibility, security
Former plan members gain greater access to locked-in retirement accounts
- By: James Langton
- September 29, 2015 December 19, 2017
- 14:30
Credit Suisse Securities settles with SEC over faulty data
Brokerage firm to pay US$4.25 million penalty
- By: James Langton
- September 29, 2015 December 19, 2017
- 06:00
NASAA releases model fee disclosure schedule
The new voluntary model calls for disclosure of brokerage fees that includes all miscellaneous account and service fees, including account maintenance fees.
- By: James Langton
- September 28, 2015 December 19, 2017
- 13:00
CSA finds that more guidance needed to ensure gender diversity
Many issues need to improve the level and detail of disclosure that’s necessary to adhere to new requirements
- By: James Langton
- September 28, 2015 December 19, 2017
- 10:00
BCSC rules Alberta man and his companies carried out illegal distributions
However, allegations of fraud against Yong and his two firms were not proven at the BCSC’s hearing
- September 28, 2015 December 19, 2017
- 09:00
OSC refuses to re-register former mutual fund rep
The former Manulife advisor “lacks the necessary proficiency and integrity to be registered,” the OSC says
- By: James Langton
- September 25, 2015 December 19, 2017
- 09:15
U.S. derivatives regulator settles with Bitcoin trading venue
The settlement follows allegations that TeraExchange violated its own policies when it arranged a test trade that amounted to a wash trade
- By: James Langton
- September 24, 2015 December 19, 2017
- 13:40
IIROC reduces quiet periods for research analysts
The amendments, which are effective Sept. 25, aim to ensure there’s a level playing field between Canada and the U.S.
- By: James Langton
- September 24, 2015 December 19, 2017
- 12:20
CSA guidance on robo-advisors focuses on human involvement
Registration requirements are the same for all portfolio managers in Canada, whether they operate a traditional bricks and mortar model or an online model
- By: James Langton
- September 24, 2015 December 19, 2017
- 11:45