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OSC seeks to permanently ban convicted fraudster

Michelle Dunk has breached previous bans

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Report reveals range of cybersecurity practices in the banking sector

Information sharing by banks and regulators varies widely across jurisdictions

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IIAC seeks relief from “unintended consequences” of U.S. tax rule changes

Canadian firms could face onerous withholding and backup reporting requirements

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CLHIA urges Quebec to ban speculative trading in life insurance

Seniors are an ideal target for groups specialized in life settlements

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Canada, U.S. and Mexico establish financial regulatory forum

The new group will examine cross-border regulatory issues in the financial sector

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MFDA fines 12 former WFG Securities reps

Panel orders fines totalling $865,000

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MFDA approves directors at AGM

Two former regulators join board of directors

BCSC finding more deficiencies: report

Compliance reviews are increasingly leading to enforcement action

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OSC bans former mutual fund rep

The MFDA had previously banned the rep in 2012

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Exempt market continues to grow in Ontario: report

Although retail investors account for a tiny share of the capital raised, they represent 77% of the number of investors in the exempt market

Issuers may be misleading investors: CSA

Companies are making unsubstantiated claims about their businesses and their profit prospects with an eye to boosting stock prices, regulators warn

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OSC study highlights benefits of investor education

More knowledgeable investors are more likely to plan ahead, feel more in control of their finances and report lower stress about finances

Downtown office buildings Toronto

Materials and energy sectors drag down TSX

U.S. stock markets post gains

Block letters spelling fraud, with magnifying glass

OSC bans convicted fraudster

Daniel Reeve is serving a 14-year sentence for fraud

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BCSC investigates alleged scheme run by “consultants”

The commission has temporarily prohibited the group from trading securities of 11 companies listed on the Canadian Securities Exchange

  • By: IE Staff
  • November 27, 2018 December 19, 2018
  • 14:15
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Questrade Wealth Management to pay $2.9 million to OSC

The commission has reprimanded the portfolio manager for failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs

OSFI issues revised guideline for insurance companies’ securitization exposures

Updated guideline for federally regulated insurers takes effect Jan.1, 2019

Closeup of mallet being hit on stacked coins at table in courtroom

MFDA bans former mutual fund rep

The Calgary-based advisor misappropriated money from a vulnerable, unsophisticated investor who was also his sister-in-law

FSB names new chairman

Randal Quarles to succeed Mark Carney

Judge gavel, scales of justice and law books in court

Vancouver man sentenced to 36 months in prison for fraud: BCSC

Fraudster preyed upon people’s lack of knowledge about investments

Basel III reforms a work in progress: report

Challenges remain in ensuring regulators adopt Basel III standards in a timely way

FSB report on compensation reporting addresses misconduct risk

Recommendations designed to support supervisors’ improved monitoring of compensation decisions taken by major financial firms in relation to misconduct risk

CDCC proposes amendments to modernize risk management

Proposals out for comment until Dec. 24

Gavel and judgement on desk

OSC to consider settlement with Questrade Wealth Management

Portfolio manager accused of failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs

OSFI publishes revisions to leverage ratio disclosure requirements guideline

Revised guideline reflects the latest changes to the banks' capital adequacy regime