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
Latest news in From the Regulators
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
POS disclosure should be free and concise: Report
Joint Forum report lists eight recommendations regarding POS disclosure for regulators and policymakers
- By: James Langton
- April 30, 2014 December 19, 2017
- 13:40
Registered rep fined $25,000
Advisor recommend and solicited investments for securities without the consent of his dealer member firm
- By: Fiona Collie
- April 30, 2014 December 19, 2017
- 13:05
Ontario man charged with unregistered trading, breaching cease trade orders
Vernon Smith facing second set of charges following OSC JSOT investigations
- By: James Langton
- April 29, 2014 December 19, 2017
- 14:45
NASAA issues investor advisory on virtual currency
Investments that incorporate virtual currency, such as Bitcoin, present very real risks
- By: James Langton
- April 29, 2014 December 19, 2017
- 09:30
Stress test rules for European banks announced
Bank will have up to nine months to cover capital shortfalls
- By: James Langton
- April 29, 2014 December 19, 2017
- 08:50
OSC reciprocates ASC trading ban
Sanctions imposed against David De Gouveia
- By: James Langton
- April 28, 2014 December 19, 2017
- 16:00
ASC reciprocates bans against FactorCorp, Mark Twerdun
OSC panel found investors were misled
- By: IE Staff
- April 28, 2014 December 19, 2017
- 10:00
OSFI issues advisory on Basel disclosure requirements
The federal regulator has also issued amended Capital Adequacy Requirements Guideline for banks
- By: James Langton
- April 25, 2014 December 19, 2017
- 13:10
Schwab fined US$500,000 for FINRA violations
Company dumps anti-class action stance after FINRA order
- By: James Langton
- April 25, 2014 December 19, 2017
- 13:05
Manitoba fund salesman fined $250,000
MFDA permanently bans Dennis Villarin
- By: Fiona Collie
- April 25, 2014 December 19, 2017
- 09:35
FINRA approves background checks for brokers
Amendments would expand firm’s obligations to verify the accuracy and completeness of info contained in applications for registration
- By: James Langton
- April 25, 2014 December 19, 2017
- 05:30
MFDA appoints members to key committee
PAC membership grows to 18
- By: James Langton
- April 24, 2014 December 19, 2017
- 15:30
IIROC consults on revisions to personal financial dealings with clients
Amendments balance the investor’s right to choose with the need to protect investors from conflicts of interest
- By: James Langton
- April 24, 2014 December 19, 2017
- 15:00
OSC removes conditions from Global RESP
Settlement accepted on supervisory failings
- By: IE Staff
- April 24, 2014 December 19, 2017
- 13:00
CSA seeks comment on guidance for proxy advisory firms
Proposed policy addresses conflicts of interest, transparency and accuracy
- By: James Langton
- April 24, 2014 December 19, 2017
- 12:30
NASAA finds fault with fee disclosure
Report raises concerns about broker-dealer fee practices
- By: James Langton
- April 24, 2014 December 19, 2017
- 11:40
IIROC proposes changes to oversight of electronic trading
Proposals aim to ensure that third-party electronic access to marketplaces is subject to supervision and regulatory oversight
- By: James Langton
- April 24, 2014 December 19, 2017
- 11:20
CSBS, NASAA release guidance on virtual currency
Regulators outlines risks consumers should consider when investing
- By: James Langton
- April 23, 2014 December 19, 2017
- 15:15
IIROC moving forward with HFT research
Two project teams chosen to assess the impact of HFT on Canadian equity markets
- By: James Langton
- April 23, 2014 December 19, 2017
- 09:10
IIROC introduces secure email service
OneWorld allows IIROC to encrypt email transmissions to dealers
- By: James Langton
- April 22, 2014 December 19, 2017
- 14:55
ASC reciprocates OSC bans
Richard Moore must cease trading in securities for 10 years
- By: IE Staff
- April 22, 2014 December 19, 2017
- 14:00
N.S. amendments improve investor protection
Reporting regime for derivatives introduced
- By: IE Staff
- April 22, 2014 December 19, 2017
- 11:30