IIROC: COS trades cancelled
Dividend cut leaked before trading halted
- By: James Langton
- January 30, 2015 December 19, 2017
- 09:30
Latest news in From the Regulators
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
REIT disclosure raises concerns: OSC
Cases where distributions to investors exceed the cash generated by operations flagged in OSC review
- By: James Langton
- January 26, 2015 December 19, 2017
- 12:00
Ex advisor fined $115,000
Unnecessary redemptions, personal financial dealings result in sanctions
- By: Fiona Collie
- January 26, 2015 December 19, 2017
- 11:35
Former Edmonton rep fined $70,000
IIROC panel finds rep made unsuitable recommendations, unauthorized trades
- By: Fiona Collie
- January 22, 2015 December 19, 2017
- 16:30
FINRA called on to release more arbitration data
Nine U.S. investor and consumer groups urge improved transparency about mandatory arbitration for investors
- By: James Langton
- January 22, 2015 December 19, 2017
- 14:40
Five more provinces to join derivatives reporting regime
The goal is to improve transparency and regulatory oversight of the OTC derivatives markets
- By: James Langton
- January 21, 2015 December 19, 2017
- 15:20
BCSC fines former notary public $33 million
Panel orders permanent market ban for fraud
- By: James Langton
- January 21, 2015 December 19, 2017
- 14:50
Regulators weigh in on syndicated mortgages
Fund dealers that sell the securities must also be licensed as mortgage brokerages
- By: James Langton
- January 21, 2015 December 19, 2017
- 13:00
Former broker lied to regulators: BCSC
Panel dismisses insider trading charge
- By: James Langton
- January 20, 2015 December 19, 2017
- 14:45
CSA approves final IIROC CRM2 amendments
IIROC says its requirements to report fees and performance are generally consistent with the CSA’s CRM2 amendments
- By: James Langton
- January 19, 2015 December 19, 2017
- 14:00
Investors Group launches two funds
Investors U.S. Dividend Registered Fund and Allegro Income Balanced Portfolio Class
- January 19, 2015 December 19, 2017
- 12:50