Oversight review finds room for improvement at IIROC
CSA report flags IIROC’s enforcement and business conduct compliance departments
- By: James Langton
- December 4, 2014 December 19, 2017
- 11:50
Latest news in From the Regulators
IIROC updates Fee Model Guidelines
Single reference sets out dealer and marketplace fee models
- By: James Langton
- December 4, 2014 December 19, 2017
- 10:30
ASC bans 2 Wongs Make It Right
Panel finds Edmonton couple illegally distributed securities
- By: IE Staff
- December 2, 2014 December 19, 2017
- 15:15
Ontario approves measures to promote corporate gender diversity
New disclosure requirements aim to promote greater representation of women on boards and in senior management
- By: James Langton
- December 2, 2014 December 19, 2017
- 14:50
Part time CFOs permitted: IIROC
New guidance spells out SRO’s expectations
- By: James Langton
- December 1, 2014 December 19, 2017
- 16:20
Risk management critical for insurers: Rudin
OSFI head highlights key risks and challenges facing the industry
- By: Megan Harman
- December 1, 2014 December 19, 2017
- 14:30
W.H. Stuart principals to face MFDA hearing
Regulator alleges $6 million from clients used for other purposes
- By: James Langton
- November 28, 2014 December 19, 2017
- 15:30
OSC reciprocates ASC bans
Trading bans imposed on former advisor, promoters
- By: James Langton
- November 28, 2014 December 19, 2017
- 13:55
OSC bans former fund salesman
Paul Yoannou was previously convicted of 15 counts of fraud
- By: James Langton
- November 28, 2014 December 19, 2017
- 13:00
Australia looks to technology to improve disclosure
AMP, Vanguard to test digital financial product disclosures
- By: James Langton
- November 28, 2014 December 19, 2017
- 11:40
Funds in fee-based accounts should not carry trailers, OSC says
Having trailing commissions embedded in a fee-based series is “potentially misleading for investors”
- By: James Langton
- November 27, 2014 December 19, 2017
- 14:20
CSA proposes harmonized approach to clearing agency requirements
The CSA and Bank of Canada have developed guidance to clarify new global standards in the Canadian context
- By: James Langton
- November 27, 2014 December 19, 2017
- 13:20
OSC adopts prospectus exemption for existing shareholders
Regulator promises to act early next year on other proposed exemptions
- November 27, 2014 December 19, 2017
- 13:00
CSA proposes significant changes to rights offering regime
Amendments aim to create streamlined prospectus exemption for rights offerings
- By: James Langton
- November 27, 2014 December 19, 2017
- 09:30
UK mulls regulatory framework for insurance execs
The Prudential Regulation Authority says there should be similar standards for executives at both insurers and banks
- By: James Langton
- November 26, 2014 December 19, 2017
- 15:00
OSC integrating Investor Education Fund with Office of the Investor
The combined operations will be rebranded as the Office of Investor Policy, Education and Outreach
- By: James Langton
- November 26, 2014 December 19, 2017
- 12:40
Industrial Alliance Securities fined $50,000
IIROC fines firm for failing to adequately supervise rep
- By: Fiona Collie
- November 26, 2014 December 19, 2017
- 11:15
IOSCO consults on cross-border regulation
Global regulators seek ways to avert rule disputes
- By: James Langton
- November 25, 2014 December 19, 2017
- 17:15
OSC, Competition Bureau teaming up to fight fraud
Agreement intended to ease cooperation on investigations, litigation
- By: James Langton
- November 25, 2014 December 19, 2017
- 14:15
Former Osler CFO charged with unregistered trading
Lenny Gaudet alleged to have sold shares in Intrinsic Minerals to four Ontario investors despite trading ban
- By: James Langton
- November 25, 2014 December 19, 2017
- 11:30
MFDA approves wording for IPC coverage disclosure
The disclosure will be required to be included on client account statements as of July 15, 2014
- By: James Langton
- November 25, 2014 December 19, 2017
- 09:50
OSFI updates guidance on bank leverage ratio disclosure
Domestic systemically important banks (D-SIBs) must fully implement the new leverage ratio disclosures starting with their reporting for the first quarter of 2015
- By: James Langton
- November 24, 2014 December 19, 2017
- 16:00
OSC charges woman with unregistered trading
The former hospital work is alleged to have sold maternity patient information to a RESP reps
- By: James Langton
- November 24, 2014 December 19, 2017
- 14:25
UK review finds conflicts with proprietary products
Not all firms monitor the level of proprietary products in customer portfolios, FCA finds
- By: James Langton
- November 24, 2014 December 19, 2017
- 12:40
FINRA fines Citigroup US$15M for analyst supervision lapses
Regulator says disciplinary measures weren’t severe enough to deter repeat violations
- By: James Langton
- November 24, 2014 December 19, 2017
- 11:35