Richardson refuses to compensate investors: OBSI
Ombudsman recommended the investment firm pay over $290,000 in compensation to clients
- By: IE Staff
- April 16, 2014 December 19, 2017
- 13:25
Latest news in From the Regulators
IIROC to publish names of those who fail to pay fines
2013 Enforcement Report shows continued focus on seniors and suitability
- By: James Langton
- April 15, 2014 December 19, 2017
- 11:30
Average Canadian life expectancy to reach age 90: OSFI
It will remain a challenge to reach a life expectancy of 100
- By: James Langton
- April 15, 2014 December 19, 2017
- 11:00
Global banks face stricter limits on risk concentration
Basel Committee announces revised standard for measuring large exposures
- By: James Langton
- April 15, 2014 December 19, 2017
- 09:30
EU strengthens rules against market abuse
Scope extended to trading venues such as multilateral trading facilities and over-the-counter (OTC) markets
- By: James Langton
- April 14, 2014 December 19, 2017
- 15:30
OSFI issues new guidelines for mortgage insurers
Guidelines aim to provided clarity about the best practices in respect of residential mortgage insurance underwriting
- By: James Langton
- April 14, 2014 December 19, 2017
- 08:20
FSB seeks help in ending ‘too big to fail’
Letter to G20 says difficult decisions still ahead to reform global financial system
- By: James Langton
- April 11, 2014 December 19, 2017
- 15:40
FDIC urges U.S. banks to be vigilant on cyber risks
U.S. government resources available to help financial institutions
- By: James Langton
- April 11, 2014 December 19, 2017
- 13:15
IIROC proposes cap on underwriting fees
The change is one of several proposed concerning the integrated fee model
- By: James Langton
- April 11, 2014 December 19, 2017
- 09:50
Black seeks dismissal of OSC proceedings
Former newspaper baron is not a danger to markets, says lawyer
- By: Romina Maurino
- April 10, 2014 December 19, 2017
- 15:55
CSA extends OTC trade reporting deadline
Clearing agencies and dealers now have to October 31 to meet reporting requirements
- By: James Langton
- April 10, 2014 December 19, 2017
- 13:30
Securities enforcement activity slows in Q1
Firms have made 384 reports to ComSet so far this year
- By: James Langton
- April 10, 2014 December 19, 2017
- 12:10
Rep to pay $150,000 for KYC and suitability failings
IIROC suspends Ravindra Suppal for one-year
- By: Fiona Collie
- April 10, 2014 December 19, 2017
- 10:40
BoC, regulators to cooperate on overseeing clearing and payment systems
MOU aims to help manage systemic risk
- By: James Langton
- April 10, 2014 December 19, 2017
- 10:15
BoA compensates clients for credit card “add-ons”
Bank agrees to refund roughly US$738 million to affected clients
- By: James Langton
- April 9, 2014 December 19, 2017
- 14:05
Scholarship plan settles with OSC
Children’s Education Funds moves to strengthen compliance systems
- By: James Langton
- April 8, 2014 December 19, 2017
- 16:40
FSB reports progress on OTC derivatives reforms
Some areas are taking longer to address
- By: IE Staff
- April 8, 2014 December 19, 2017
- 15:55
U.S. banks required to have stronger capital base
Eight biggest U.S. banks will have to meet stricter measures to reduce financial threats under a rule adopted by U.S. regulators
- By: Marcy Gordon
- April 8, 2014 December 19, 2017
- 13:15
Fed gives banks extension on Volcker rule
Banks will now have until July 2017 to adhere to provisions for CLOs
- By: James Langton
- April 8, 2014 December 19, 2017
- 07:40
AMF expanding work with victim support services
Quebec regulator signs agreements with local assistance centres for victims of financial crimes
- April 7, 2014 December 19, 2017
- 16:05
CSA calls for independent research on fund fees
Firms are invited to submit proposals for two pieces of research
- By: James Langton
- April 7, 2014 December 19, 2017
- 10:45
Efforts to improve supervision need ongoing focus: report
FSB issues progress report on enhanced supervision of systemically important financial institutions
- By: James Langton
- April 7, 2014 December 19, 2017
- 10:30
OSC fines business owner $125,000
Regulator orders John Bordynuik to pay a penalty for improper distribution of securities
- By: James Langton
- April 4, 2014 December 19, 2017
- 16:25
Whistleblower awarded additional $150,000 by SEC
Award represents 30% of total funds collected by SEC from a fraud scheme
- By: James Langton
- April 4, 2014 December 19, 2017
- 12:45