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Home News From the Regulators

Latest news in From the Regulators

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CSA names new secretary general

Laura Belloni succeeds Kim Lachapelle

  • September 17, 2018 September 18, 2018
  • 12:08

OSFI proposes new guideline for insurers’ asset securitization

The proposed amendments are designed to reflect market developments since 2004

businessman in a desk with financial advisor nameplate

IFIC proposes four titles for advisors

The mutual fund industry trade group support’s the CSA’s proposed ban on titles that are based on sales activity

Businessman analysis the stockmarket on labtop Stock Market Investment Online

CSA signs deal for new market surveillance system

The new platform, which the CSA says will replace its current system, “will capture a broad array of market and transaction data to improve insight…

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Ontario pushes back on CSA’s proposed DSC ban

The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday

senior couple meets with advisor at home

OSC announces seniors expert advisory committee membership

New members include experts in aging and health, investor advocates and industry personnel

closeup of on table in empty corporate conference room

OSC announces speakers for Dialogue 2018

Global regulators and industry executives will address opportunities and challenges in capital markets

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FINRA report identifies benefits and risks of regtech

Technology may make it easier for securities firms to strengthen their compliance programs

Businessman analysis the stockmarket on labtop Stock Market Investment Online

OSC seeks comment on Nasdaq Canada proposed fee change

The proposed changes aim boost trading volume and enhance market quality

Magnifying glass focused an invoice with negative numbers

CSA proposes rule regarding non-GAAP and other financial measures

Proposal would give regulators a stronger tool to take appropriate action against companies misleading investors

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MFDA bans former Scotia Securities rep

A female advisor misappropriated more than $31,000 from her father, who was a client

FCA introduces advisor reassessment test

The aim of the test is to raise the standards and competence of advisors

outsourcing word on yellow roadsign on blue urban background

Outsourcing should be entered into as introducing/carrying dealer arrangement: MFDA

New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight

Robo-advice growing slowly in Europe

No need for immediate regulatory action, regulators say

dirty hands of a miner

AMF offers guidance to help companies disclose exposure to modern slavery

Modern slavery affects tens of millions of people around the world, and Canadian companies may be directly or indirectly exposed

gavel with $100-bill background

OSC fines former Aston Hill CEO $125,000

Eric Tremblay admitted he misled OSC staff investigating insider trading involving Amaya Gaming Group

Business People Meeting Discussion in a boardroom concept

IIROC sets date for annual meeting

Members will gather to elect directors

  • August 30, 2018 August 30, 2018
  • 15:45
financial advisor explaining investment plan to couple on laptop at office desk

FAIR Canada seeks clarity on client-focused reforms

How will firms be able to address conflicts of interest in four common scenarios?

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

MFDA fines Sentinel Financial

A 2016 compliance exam identified inadequate due diligence with regard to exempt market products

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IIROC fees rising as demands on regulators grow

The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan

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Canadian sentenced to U.S. prison for promoting tax fraud scheme

Canadian citizens filed US$10 million in false tax refund claims with the IRS

FINRA announces governor elections

Board members bring valuable perspectives, CEO says

Many hands choosing cryptocurrency coins from box labeled ICO

NASAA details cryptocurrency crackdown

More than 200 active investigations by state and provincial securities regulators

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

SEC charges Moody’s with internal controls failures and ratings symbols deficiencies

Credit rating agency agrees to pay more than US$16 million in penalties

Grain elevator in ghost town Dorothy Alberta

Alberta man charged with fraud and theft

Investment scheme fraudulently raised $200,000 from six investors, ASC alleges