FINRA approves background checks for brokers
Amendments would expand firm’s obligations to verify the accuracy and completeness of info contained in applications for registration
- By: James Langton
- April 25, 2014 December 19, 2017
- 05:30
Latest news in From the Regulators
MFDA appoints members to key committee
PAC membership grows to 18
- By: James Langton
- April 24, 2014 December 19, 2017
- 15:30
IIROC consults on revisions to personal financial dealings with clients
Amendments balance the investor’s right to choose with the need to protect investors from conflicts of interest
- By: James Langton
- April 24, 2014 December 19, 2017
- 15:00
OSC removes conditions from Global RESP
Settlement accepted on supervisory failings
- By: IE Staff
- April 24, 2014 December 19, 2017
- 13:00
CSA seeks comment on guidance for proxy advisory firms
Proposed policy addresses conflicts of interest, transparency and accuracy
- By: James Langton
- April 24, 2014 December 19, 2017
- 12:30
NASAA finds fault with fee disclosure
Report raises concerns about broker-dealer fee practices
- By: James Langton
- April 24, 2014 December 19, 2017
- 11:40
IIROC proposes changes to oversight of electronic trading
Proposals aim to ensure that third-party electronic access to marketplaces is subject to supervision and regulatory oversight
- By: James Langton
- April 24, 2014 December 19, 2017
- 11:20
CSBS, NASAA release guidance on virtual currency
Regulators outlines risks consumers should consider when investing
- By: James Langton
- April 23, 2014 December 19, 2017
- 15:15
IIROC moving forward with HFT research
Two project teams chosen to assess the impact of HFT on Canadian equity markets
- By: James Langton
- April 23, 2014 December 19, 2017
- 09:10
IIROC introduces secure email service
OneWorld allows IIROC to encrypt email transmissions to dealers
- By: James Langton
- April 22, 2014 December 19, 2017
- 14:55
ASC reciprocates OSC bans
Richard Moore must cease trading in securities for 10 years
- By: IE Staff
- April 22, 2014 December 19, 2017
- 14:00
N.S. amendments improve investor protection
Reporting regime for derivatives introduced
- By: IE Staff
- April 22, 2014 December 19, 2017
- 11:30
OSC settles Bridgewater insider trading case
Information provided inadvertently by Bridgewater employee
- By: James Langton
- April 17, 2014 December 19, 2017
- 15:15
OSC amends Trade Repositories and Derivatives Data Reporting Rule
The amendments push back the effective date of reporting obligations
- By: James Langton
- April 17, 2014 December 19, 2017
- 12:30
OSC settles with Global RESP and officers
Scholarship plan dealer CEO, Issam El-Bouji, ordered to disgorge almost $2 million
- By: James Langton
- April 16, 2014 May 25, 2018
- 16:40
Richardson refuses to compensate investors: OBSI
Ombudsman recommended the investment firm pay over $290,000 in compensation to clients
- By: IE Staff
- April 16, 2014 December 19, 2017
- 13:25
IIROC to publish names of those who fail to pay fines
2013 Enforcement Report shows continued focus on seniors and suitability
- By: James Langton
- April 15, 2014 December 19, 2017
- 11:30
Average Canadian life expectancy to reach age 90: OSFI
It will remain a challenge to reach a life expectancy of 100
- By: James Langton
- April 15, 2014 December 19, 2017
- 11:00
Global banks face stricter limits on risk concentration
Basel Committee announces revised standard for measuring large exposures
- By: James Langton
- April 15, 2014 December 19, 2017
- 09:30
EU strengthens rules against market abuse
Scope extended to trading venues such as multilateral trading facilities and over-the-counter (OTC) markets
- By: James Langton
- April 14, 2014 December 19, 2017
- 15:30
OSFI issues new guidelines for mortgage insurers
Guidelines aim to provided clarity about the best practices in respect of residential mortgage insurance underwriting
- By: James Langton
- April 14, 2014 December 19, 2017
- 08:20
FSB seeks help in ending ‘too big to fail’
Letter to G20 says difficult decisions still ahead to reform global financial system
- By: James Langton
- April 11, 2014 December 19, 2017
- 15:40
FDIC urges U.S. banks to be vigilant on cyber risks
U.S. government resources available to help financial institutions
- By: James Langton
- April 11, 2014 December 19, 2017
- 13:15
IIROC proposes cap on underwriting fees
The change is one of several proposed concerning the integrated fee model
- By: James Langton
- April 11, 2014 December 19, 2017
- 09:50
Black seeks dismissal of OSC proceedings
Former newspaper baron is not a danger to markets, says lawyer
- By: Romina Maurino
- April 10, 2014 December 19, 2017
- 15:55