OSFI to review senior hires at banks, insurers
Regulator outlines process for notifying it about potential changes in the boardroom and executive suite at banks and insurers
- By: James Langton
- May 14, 2014 December 19, 2017
- 12:25
Latest news in From the Regulators
FCA calls on funds to improve fee disclosure
Firms must reveal their fund charges clearly and consistently to retail investors
- By: James Langton
- May 13, 2014 December 19, 2017
- 09:35
GAO finds continued weakness in SEC’s internal controls over financial reporting
While the shortcomings are not considered significant, the GAO says they still require attention
- By: James Langton
- May 13, 2014 December 19, 2017
- 07:15
ASC alleges fraud in Edmonton real estate schemes
Hearing set for alleged illegal distributions, misrepresentations by 2 Wongs
- By: IE Staff
- May 12, 2014 December 19, 2017
- 12:55
OSFI promotes external audit quality initiatives
International and domestic initiatives provide best practices and should be implemented
- By: James Langton
- May 12, 2014 December 19, 2017
- 05:15
Alberta businessman sanctioned for fraud
ASC permanently bans Ronald Cloutier for capital market misconduct
- By: IE Staff
- May 9, 2014 December 19, 2017
- 13:20
Don’t be complacent about risks: OSFI head
Superintendent Julie Dickson says industry and regulators shouldn’t be complacent because banks survived the financial crisis and emerged in good shape
- By: James Langton
- May 9, 2014 December 19, 2017
- 09:15
Room for improvement on fund fee disclosure: OSC
Review uncovers areas where disclosure of fees and expenses could be better
- By: James Langton
- May 8, 2014 December 19, 2017
- 14:30
UK regulator tightens rules on how funds use commissions
The FCA says stricter rules on how investment managers allocate dealing commission will come in on June 2
- By: James Langton
- May 8, 2014 December 19, 2017
- 11:50
NSSC to host crowdfunding info sessions
Regulator looking for feedback from stakeholders
- May 8, 2014 December 19, 2017
- 11:10
Not knowing securities law is not a defence: ASC panel
ASC finds Lawrence Zeiben, Grit International and Texas Petroleum committed fraud and misrepresentation
- By: James Langton
- May 7, 2014 December 19, 2017
- 14:50
Court denies appeal of glacier fund fraud order
Three former Sextant Capital officers had sought to set aside the OSC’s sanctions order
- By: James Langton
- May 6, 2014 December 19, 2017
- 13:30
OSC charges Tiffin Financial with unregistered trading
The company and Daniel Tiffin remain subject to a cease trade order
- By: James Langton
- May 6, 2014 December 19, 2017
- 10:30
Former Ontario fund salesman fined $175,000
MFDA bans Reginald Roskaft for misappropriating client funds
- By: Fiona Collie
- May 6, 2014 December 19, 2017
- 09:20
Vancouver advisor fined $48,000
Unsuitable investments, unauthorized trades result in penalty
- By: Fiona Collie
- May 6, 2014 December 19, 2017
- 08:40
SEC lays charges in Toronto-based reverse takeover scheme
Consultant agrees to pay US$6 million in scheme involving China-based companies
- By: James Langton
- May 5, 2014 December 19, 2017
- 15:25
FINRA rule change to limit self-trading approved
Rule change will significantly increase FINRA’s ability to deter self-trading that disruptive to the marketplace
- By: James Langton
- May 5, 2014 December 19, 2017
- 07:35
SFSC cease trades Bitcoin firm
The Saskatchewan securities regulator has issued a temporary cease trade order against Dominion Bitcoin Mining
- By: James Langton
- May 2, 2014 December 19, 2017
- 13:20
Ontario reaffirms support for national regulator
Budget proposes updates to securities legislation
- By: James Langton
- May 2, 2014 December 19, 2017
- 13:05
OSC Investor Advisory Panel looking to fill vacancies
Paul Bates and Cary List are leaving the panel
- By: James Langton
- May 2, 2014 December 19, 2017
- 11:30
CSA to require dealers to use OBSI to resolve complaints
Firms must provide clients with information about the availability of independent dispute resolution
- By: James Langton
- May 1, 2014 December 19, 2017
- 11:15
Ex advisor fined for unauthorized trades
After returning to Canada following a long absence, the client found over 50 trades were made without any discussion or authorization
- By: IE Staff
- May 1, 2014 December 19, 2017
- 10:25
Pre-sale delivery of Fund Facts gets support from OSC investor panel
IAP says proposal lines up with disclosures that will be required under phase two of the Client Relationship Model reforms
- By: James Langton
- May 1, 2014 December 19, 2017
- 09:25
OSFI revises guidance on regulatory compliance risk
New guideline requires firms to establish an enterprise-wide framework of regulatory risk management controls
- By: James Langton
- April 30, 2014 December 19, 2017
- 15:10
Only half of Quebeckers planning properly for retirement: AMF
Index finds overall financial awareness is on the rise in Quebec
- By: James Langton
- April 30, 2014 December 19, 2017
- 15:00