SEC proposes compensation clawback rules
Proposals would require executive officers to return incentive-based compensation that was not earned
- By: James Langton
- July 2, 2015 December 19, 2017
- 13:50
Latest news in From the Regulators
ASC now automatically reciprocates other Canadian sanction orders
Most new disciplinary decisions and settlement agreements issued in other provinces automatically take effect in Alberta
- By: James Langton
- July 2, 2015 December 19, 2017
- 09:00
OSC forecasts higher revenues and expenses
The commission expects to collect $97.4 million in participation fees in fiscal 2016
- By: James Langton
- June 30, 2015 December 19, 2017
- 15:00
AMF issues warning about repeat offender Michael Mitton
Convicted fraudster is not registered to solicit invesments
- By: James Langton
- June 30, 2015 December 19, 2017
- 13:00
ESMA publishes guidelines for alternative performance measures
Issuers called on to disclose financial performance in ways that are transparent and useful to investors.
- By: James Langton
- June 30, 2015 December 19, 2017
- 11:45
CSA proposes using SEDAR for exempt market filings
Proposals would enhance regulators’ ability to analyze documents while reducing administrative burden
- By: James Langton
- June 30, 2015 December 19, 2017
- 10:50
OSC reciprocates BCSC cease-trade orders
The B.C. regulator found that the four respondents perpetrated a fraud
- By: James Langton
- June 29, 2015 December 19, 2017
- 15:10
FSCO updates mortgage disclosure forms
Changes aimed at helping investors understand syndicated mortgages
- By: Fiona Collie
- June 29, 2015 December 19, 2017
- 14:00
OSC bans former Pro-Financial compliance chief
The settlement stems from allegations of internal control failures at the firm
- By: James Langton
- June 29, 2015 December 19, 2017
- 11:50
OSC to review compliance with OTC derivatives rules
The review will examine firms’ systems and policies to ensure that trade data is being reported accurately and on time
- By: James Langton
- June 29, 2015 December 19, 2017
- 11:00
IOSCO mulls revised standards for investment fund fees and expenses
Consultation paper proposes an updated set of international best practices
- By: James Langton
- June 25, 2015 December 19, 2017
- 14:45
Fund managers should stress-test portfolios: OSC
Tests should include scenarios that exceed funds’ past redemption experience
- By: James Langton
- June 25, 2015 December 19, 2017
- 13:00
Exempt-market issuers not reporting compensation: CSA
Regulators outline several deficiencies, including irregularities involving the minimum-amount exemption
- By: James Langton
- June 25, 2015 December 19, 2017
- 10:50
CSA streamlines disclosure requirements for foreign private placements
New amendments are intended to provide sophisticated investors access to a broader range of investment opportunities
- By: James Langton
- June 25, 2015 December 19, 2017
- 10:30
U.K. regulator calls for more effective communications
Discussion paper challenges financial firms to use more innovative methods of engaging with consumers
- By: James Langton
- June 25, 2015 December 19, 2017
- 09:20
OSC bans two for insider trading
Four sanctioned in complex case involving advance knowledge of several corporate mergers
- By: James Langton
- June 25, 2015 December 19, 2017
- 08:30
BCSC issues lifetime ban against blogger for fraud
B.C. man also traded without registration
- By: James Langton
- June 24, 2015 December 19, 2017
- 15:00
Greater flexibility on insider order marking
New guidance from IIROC allows firms two ways of complying with their obligation to mark orders from insiders
- By: James Langton
- June 24, 2015 December 19, 2017
- 14:00
OSC overrules IIROC hearing panel decision
An investment advisor has been suspended for two years after IIROC staff appealed the decision to the OSC
- By: James Langton
- June 24, 2015 December 19, 2017
- 13:15
Canadian arrested in U.S. for role in alleged schemes
Gregg Mulholland is alleged to have controlled a group of individuals who devised three interrelated fraudulent schemes
- By: James Langton
- June 24, 2015 December 19, 2017
- 10:45
CE requirement for mutual fund reps closer to reality
The MFDA is seeking feedback on a variety of areas that may be included as part of a new, mandated CE requirement
- By: Jade Hemeon
- June 23, 2015 December 19, 2017
- 13:10
OSC weighs in on peer-to-peer lending websites
Operations that offer such services should be mindful of whether a loan arrangement is considered a security by law
- By: Fiona Collie
- June 19, 2015 December 19, 2017
- 10:35
National regulator a key strategic priority for the OSC
As part of the provincial regulator’s priorities, it also intends to research how embedded commissions may affect advisor behaviour in the coming year
- By: Fiona Collie
- June 18, 2015 December 19, 2017
- 14:50
CSA proposes simplified disclosure document for ETFs
ETF Facts would be similar to the Fund Facts document that must be provided to clients who purchase mutual funds
- By: Jade Hemeon
- June 18, 2015 December 19, 2017
- 11:30