IIROC issues guidance on underwriting due diligence
Revised guidance designed to promote consistency and enhanced standards
- December 18, 2014 December 19, 2017
- 16:15
Latest news in From the Regulators
Crowdfunding would benefit from regulation: ESMA
Regulator wants common EU approach to supervision of investment crowdfunding
- By: James Langton
- December 18, 2014 December 19, 2017
- 11:30
Alberta mother and son plead guilty to Ponzi scheme
Seven victims collectively lost more than $1.3 million
- By: James Langton
- December 17, 2014 December 19, 2017
- 15:00
Papers shed light on HFT impact: IIROC
IIROC to review findings before determining what, if any, regulatory response may be required
- December 17, 2014 December 19, 2017
- 13:40
ASC sanctions Edmonton man for illegal distributions
Illegal trades deprived investors of key protections
- By: IE Staff
- December 17, 2014 December 19, 2017
- 09:10
Embedded commission ban improving outcomes for UK investors: report
FCA research finds little evidence reforms caused advice gap
- By: James Langton
- December 16, 2014 December 19, 2017
- 09:10
SEC cautions investors on fees
Miscellaneous fees charged by some brokerage firms can have a “significant” impact on returns
- By: James Langton
- December 15, 2014 December 19, 2017
- 16:00
NASAA launches online system for exempt offering
EFD designed to improve the efficiency of the regulatory filing process for certain exempt securities offerings
- By: James Langton
- December 15, 2014 December 19, 2017
- 14:45
CSA voices concerns on trade routing
Sending retail equity orders to U.S. dealers may not comply with Canadian trading rules
- By: James Langton
- December 15, 2014 December 19, 2017
- 11:20
British regulator bans manager for fare-dodging
Conduct of former BlackRock managing director demonstrated a lack of honesty, FCA says
- By: James Langton
- December 15, 2014 December 19, 2017
- 10:00
More U.S. advisors embracing social media
Advisors using Facebook to connect with clients
- By: James Langton
- December 11, 2014 December 19, 2017
- 15:30
Basel Committee revising capital rules for securitization
The committee notes that the financial crisis highlighted several weaknesses in the current capital rules
- By: James Langton
- December 11, 2014 December 19, 2017
- 15:15
Tougher financial rules must allow for ‘natural’ market forces: Poloz
Bank of Canada governor called on regulators to allow for competitive market innovation
- By: Andy Blatchford
- December 11, 2014 December 19, 2017
- 14:40
IIROC proposes new fee model
New fees would recover the cost of IIROC’s new debt market oversight responsibilities
- By: James Langton
- December 11, 2014 December 19, 2017
- 12:10
CSA sets date for pre-sale delivery of Fund Facts
The requirement for pre-sale delivery of disclosure documents to mutual fund investors takes effect on May 30, 2016
- By: James Langton
- December 11, 2014 December 19, 2017
- 11:00
MFDA fines former advisor $50,000
PEI man fined for recommending leveraged scheme to clients without properly explaining risks
- By: Fiona Collie
- December 11, 2014 December 19, 2017
- 10:20
FINRA names electronic trading expert to board
Barclay’s Joe Mecane brings expertise in market structure issues
- By: James Langton
- December 10, 2014 December 19, 2017
- 17:00
Basel proposes standards for ‘net stable funding ratio
The framework aims to ensure the maintenance and stability of funding and liquidity profiles of banks' balance sheets
- By: James Langton
- December 9, 2014 December 19, 2017
- 14:00
Former advisor to face penalty hearing
IIROC panel finds former Calgary advisor made unsuitable recommendations, engaged in churning
- By: Fiona Collie
- December 9, 2014 December 19, 2017
- 11:40
SEC sanctions eight audit firms
Firms violated independence rules in their work for brokerage firms
- By: James Langton
- December 8, 2014 December 19, 2017
- 12:40
Canada top source of SEC whistleblowers: report
More than 1,000 whistleblowers from 82 countries have made confidential disclosures to U.S. regulators since 2011
- By: James Langton
- December 8, 2014 December 19, 2017
- 12:30
OSC offering new educational seminars
Three sessions designed to strengthen compliance practices
- By: James Langton
- December 5, 2014 December 19, 2017
- 16:00
CCMRS draft initial regulations delayed until spring
The rules will “substantially” maintain current harmonization, provinces say
- By: James Langton
- December 5, 2014 December 19, 2017
- 15:00
MFDA approves CRM2 amendments
The amendments aim to improve transparency about the costs of investing and the performance of client portfolios
- By: James Langton
- December 4, 2014 December 19, 2017
- 16:15
MFDA approves new directors
Appointees join existing public and industry directors
- By: IE Staff
- December 4, 2014 December 19, 2017
- 15:40