Maine tackles financial abuse of seniors
Training program for banking staff could be coming to Canada
- By: James Langton
- February 4, 2015 December 19, 2017
- 15:45
Latest news in From the Regulators
More time for Bitcoin derivatives feedback
CFTC extends comment period for LedgerX application
- By: James Langton
- February 4, 2015 December 19, 2017
- 15:20
OSC announces commissioner appointments
Two former bank execs, lawyer join three returning commissioners
- By: James Langton
- February 3, 2015 December 19, 2017
- 15:15
U.S. regulators review brokerage cybersecurity
Most incidents involve fraudulent emails or malware
- By: James Langton
- February 3, 2015 December 19, 2017
- 15:00
UK regulator steps up crowdfunding supervision
The market has seen rapid growth since new investor protection rules took effect in 2014
- By: James Langton
- February 3, 2015 December 19, 2017
- 14:30
OSC: Whistleblowing an important enforcement tool
Proposed OSC program could reward tipsters up to $1.5 million
- By: James Langton
- February 3, 2015 December 19, 2017
- 13:15
BCBS issues new guidance on accounting for expected credit losses
Proposed new guidance details supervisory expectations for banks
- By: James Langton
- February 2, 2015 December 19, 2017
- 09:50
OSFI updates derivatives guideline
Revision reflects reforms to OTC derivatives markets agreed to by the G20
- By: James Langton
- January 30, 2015 December 19, 2017
- 14:10
Former fund salesperson fined $200,000
MFDA bans former advisor for personal financial dealings, outside business activities
- By: Fiona Collie
- January 30, 2015 December 19, 2017
- 11:30
IIROC: COS trades cancelled
Dividend cut leaked before trading halted
- By: James Langton
- January 30, 2015 December 19, 2017
- 09:30
CSA signals preferred indicator for mutual fund risk
There are “divergent views” on many aspects of a proposed standardized risk classification methodology
- By: James Langton
- January 29, 2015 December 19, 2017
- 13:40
Trade migration worries IIROC
Retail orders rerouted to U.S. dark pools “could negatively impact price discovery in Canada”
- By: James Langton
- January 29, 2015 December 19, 2017
- 13:25
Related-party transaction disclosure needs clarity: report
RPT disclosure often found to be too generic, and not specific to the issuer, OSC says
- By: James Langton
- January 29, 2015 December 19, 2017
- 13:00
New framework for OTC derivatives trading facilities
CSA proposes that some OTC derivatives be required to trade exclusively on exchanges
- By: James Langton
- January 29, 2015 December 19, 2017
- 11:50
Missing fund salesman fined $250,000
MFDA permanently bans former Ontario rep for KYC, leverage violations
- By: Fiona Collie
- January 29, 2015 December 19, 2017
- 11:10
CSA: Fragmented proxy voting infrastructure needs modernization
Progress report proposes five improvements
- By: James Langton
- January 29, 2015 December 19, 2017
- 10:40
IOSCO sets out standards for non-centrally cleared OTC derivatives
New standards aim to help market participants better manage risks
- By: James Langton
- January 28, 2015 December 19, 2017
- 15:50
Dealers get a bit more time for CRM2
Deadline for new reports on investment cost and portfolio performance remains July 15, 2016
- By: James Langton
- January 28, 2015 December 19, 2017
- 15:00
Use of circuit-breakers expanding: IIROC
Protection growing to include “actively-traded” securities
- By: James Langton
- January 28, 2015 December 19, 2017
- 13:30
Informed investors ask about cybersecurity: NASAA
Investors should question what steps firms are taking to safeguard client information
- By: James Langton
- January 28, 2015 December 19, 2017
- 11:35
Basel Committee aims to make banks’ disclosures of risk-weighted assets comparable
Revised disclosure framework represents an important shift
- By: James Langton
- January 28, 2015 December 19, 2017
- 09:50
IIROC signals compliance priorities
Report highlights shortcomings with relationship disclosure documents
- By: James Langton
- January 27, 2015 December 19, 2017
- 12:30
Former advisor fined $200,000
Ex Calgary rep banned from IIROC approval for five years
- By: IE Staff
- January 27, 2015 December 19, 2017
- 10:30
ASC investigative provisions ruled constitutional
Regulator can compel information and share it with other authorities
- By: James Langton
- January 26, 2015 December 19, 2017
- 15:30