UK regulator issues guidance on independent advice
FCA publishes examples of good and bad practices to help firms and advisors meet independence requirements
- By: James Langton
- March 20, 2014 December 19, 2017
- 08:40
Latest news in From the Regulators
AMF issues warning on high-yield investments
Secret investment programs lure investors with promises of large returns
- By: James Langton
- March 19, 2014 December 19, 2017
- 12:30
Ontario life agent handed one-month ban
Superintendent rules agent banned by MFDA be supervised by another agent for 24 months
- By: James Langton
- March 19, 2014 December 19, 2017
- 10:05
Pro-Financial ordered to stop selling funds to new investors
Distribution of Pro-Index Funds to new investors to cease
- By: James Langton
- March 18, 2014 December 19, 2017
- 15:40
March 19 is Check Registration Day
CSA encourages investors to protect themselves from investment fraud
- By: IE Staff
- March 18, 2014 December 19, 2017
- 11:10
BCSC fines Quantum Materials CEO
U.S. tech company distributed securities despite a cease trade order from the regulator
- By: James Langton
- March 17, 2014 December 19, 2017
- 15:00
SEC charges Canadian man with fraud
U.S. regulator alleges “scalping” scheme raised US$1.9 million
- By: James Langton
- March 13, 2014 December 19, 2017
- 15:45
CSA adopts new exemption
Companies will be allowed to raise money from their existing shareholders without a prospectus
- By: James Langton
- March 13, 2014 December 19, 2017
- 15:20
Lionsgate to pay US$7.5 million to settle SEC charge
Firm admits to disclosure failings
- By: James Langton
- March 13, 2014 December 19, 2017
- 12:25
SEC proposes new rules to safeguard clearing agencies
Agencies would be subject to new requirements regarding their financial risk management, operations, governance, and disclosure
- By: James Langton
- March 12, 2014 December 19, 2017
- 14:20
ASC panel declines to reciprocate OSC order
Panel cites lack of evidence in order against Richard Moore
- By: James Langton
- March 12, 2014 December 19, 2017
- 09:05
IIROC: Levelling the playing field
The self regulatory organization seeks comments on the concept of lower minimum capital requirements
- By: James Langton
- March 11, 2014 December 19, 2017
- 15:20
Montreal rep fined for off-book activities
Rep lied to his dealer when questioned about his outside business activities
- By: IE Staff
- March 11, 2014 December 19, 2017
- 15:00
FINRA warns of bitcoin fraud
Alert outlines risks surrounding digital currencies
- By: James Langton
- March 11, 2014 December 19, 2017
- 12:55
OSC proceeding with no contest settlements
Four new initiatives intended to strengthen and speed up enforcement
- By: James Langton
- March 11, 2014 December 19, 2017
- 11:00
AMF warns of offers from WCM777
Online scheme has bilked investors of US$10 million, regulator alleges
- By: James Langton
- March 11, 2014 December 19, 2017
- 08:50
OSFI issues reminder on earthquake exposure
P&C insurers will have to begin filing new data with the regulator on April 15
- By: James Langton
- March 10, 2014 December 19, 2017
- 13:25
IOSCO report compares prudential standards in the securities sector
Report highlights issues where regulators should consider whether their current practices are adequate to oversee and mitigate risk
- By: James Langton
- March 10, 2014 December 19, 2017
- 10:50
B.C. branch manager sanctioned for lax supervision
Former Canada Genuity branch manager fined $60,000
- By: IE Staff
- March 10, 2014 December 19, 2017
- 09:05
FINTRAC reminds dealers of obligations under Ukraine asset freeze
Firms should be aware of the prohibition under anti-money laundering rules on dealing with allegedly corrupt foreign officials from Ukraine
- By: James Langton
- March 9, 2014 December 19, 2017
- 15:00
OSC reprimands scholarship plan for compliance deficiencies
Knowledge First must file report by May 2015
- By: James Langton
- March 7, 2014 December 19, 2017
- 16:45
U.S. investor lawyers find fault with FINRA broker disclosures
PIABA says regulator omits information from BrokerCheck service
- By: James Langton
- March 6, 2014 December 19, 2017
- 15:30
Canada freezes assets of former Ukrainian officials
OSFI reminds banks of obligations
- By: James Langton
- March 6, 2014 December 19, 2017
- 14:40
FCA unveils crowdfunding rules
Industry critical of proposed 10% limit on equity crowdfunding investments for most retail investors
- By: James Langton
- March 6, 2014 December 19, 2017
- 12:30
IIROC issues guidance on underwriting
Proposed guidance details common due diligence practices
- By: James Langton
- March 6, 2014 December 19, 2017
- 11:50