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OSC names fives new members to its SPAC

The lawyers will join the OSC’s advisory committee on the operation of its in-house tribunal

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U.S. regulators combat cryptocurrency fraud

The SEC and CFTC pledge to stop and prevent fraud

CI makes portfolio management changes

AMF finds deficiencies in “Fund Facts” review

The AMF will follow up on the results of the review and may require firms to make changes to their “Fund Facts” documents

OSFI proposes revisions to capital rules for life insurers

IIROC seeks input on changes to plain language rulebook

IIROC seeks input on changes to plain language rulebook

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IIROC bans former Calgary broker

Unauthorized discretionary by Adam Woodward caused significant client losses, regulator says

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IOSCO highlights risks with initial coin offerings

Investors urged to be very careful in considering these highly speculative investments

FSCO reports decrease in insurance advisors’ compliance rates

IIROC releases 2018 compliance priorities report

Emphasis is on CRM2, cybersecurity and conflicts of interest

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ESMA mulls ban on sale of binary options to retail investors

Regulators have found that between 74% and 89% of clients that trade in these products lose money

U.S. whistleblower awarded US$2.5 million

OSC proposes change to whistleblower program

Commission aims to clarify that in-house counsel can't collect a reward for reporting enforcement information in violation of law society rules

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NSSC introduces investor alert database

The database is another tool for investors to use when making informed investment decisions

  • January 17, 2018 January 19, 2018
  • 16:15
Canadian insurance regulators focus on three key priorities

MFDA sets compliance priorities for 2018

The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors

AMF issues warning on cryptocurrencies, ICOs

Quebec regulator cautions investors, issuers

Jury’s out on bitcoin

Investors and advisors should go “beyond the headlines and the hype”

CSA reconsiders disclosure policy for cannabis companies with U.S. operations

The umbrella organization for Canada’s provincial and territorial securities regulators. says it will communicate more details about its position shortly

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OSFI announces revisions to capital floor

The revised requirements for banks will begin to be phased in during the second quarter

Two commissioners join SEC

Robert Jackson Jr. and Hester Peirce participated in the inaugural meeting of the SEC’s new fixed income market structure advisory committee

IIROC reaches settlement with three former All Group reps

IIROC fines advisor $90,000 for conflict of interest

The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm

ESMA calls for greater transparency on fees from credit rating agencies

Report follows the conclusion of ESMA’s review of the current fee structures in the credit rating and trade repository industries

FCA sounds warning following CFD review

Retail investors may be at serious risk of harm from poor practices in from distributors

Equities drive Q1 gains for Canadian DB pensions: Northern Trust

Concerns about Alpha speed bump unfounded: report

The report examines segmentation, market quality measures, and differences in routing behaviour around the TSX Alpha Exchange redesign

FINRA releases 2018 regulatory and exam priorities

Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation

  • January 8, 2018 January 8, 2018
  • 15:30

Court dismisses appeal of OSC securities fraud decision

The founders of North American Financial Group and North American Capital argued that a hearing panel’s and findings and penalty decision were unreasonable

U.S. regulators propose new risk management guidance for banks

U.S. regulators propose new risk management guidance for banks

FPSC, IQPF issue updated guidelines for financial planners

OSC approves Nasdaq Canada to operate as an exchange

Recognition will take effect March 1

NASAA advises caution on cryptocurrency investments

A survey of securities regulators has found that 94% believe that there is a high risk of fraud involving cryptocurrencies