IIROC withdraws proposed financial planning rule
Regulator cites Ontario consultation, desire for a coordinated approach
- By: James Langton
- February 20, 2014 December 19, 2017
- 14:50
Latest news in From the Regulators
OSC offers fee relief for smaller firms
One-time relief on participation fees for small dealers, portfolio managers and reporting issuers
- By: James Langton
- February 20, 2014 December 19, 2017
- 13:30
CSA enforcement activity down in 2013
Regulators using advanced technologies to combat illegal activities
- By: James Langton
- February 20, 2014 December 19, 2017
- 12:35
IIROC uncovers inappropriate retail leverage strategies
New guidance reminds advisors about their suitability obligations
- By: James Langton
- February 19, 2014 December 19, 2017
- 13:20
U.S. strengthens supervision of banks
The tougher standards include measures focusing on liquidity, risk management, and capital
- By: James Langton
- February 18, 2014 December 19, 2017
- 17:00
Industrial Alliance to pay $165,000 fine
AMF reaches settlement with insurer for alleged sales violations
- By: James Langton
- February 18, 2014 December 19, 2017
- 14:20
FSCO suspends insurance agent
Agent suspended nine months for forging a letter to a client
- By: James Langton
- February 18, 2014 December 19, 2017
- 13:55
SEC to host cybersecurity roundtable
March 26 meeting to discuss issues and challenges facing financial firms and public companies
- By: James Langton
- February 14, 2014 December 19, 2017
- 15:35
ASC reciprocates bans against Beryl Henderson
Convicted fraudster illegally sold $474,000 in securities of Go Sports Entertainment
- By: IE Staff
- February 14, 2014 December 19, 2017
- 12:25
FSB to review foreign exchange benchmarks
Group is planning to produce recommendations for the next G20 summit in Brisbane
- By: James Langton
- February 14, 2014 December 19, 2017
- 11:30
Annuities market is not working, says British regulator
Eight of 10 people could get a more generous retirement income by shopping around: study
- By: James Langton
- February 14, 2014 December 19, 2017
- 09:20
OSC reviewing allocation of fund expenses
Fourth annual Summary Report for Investment Fund Issuers outlines policy initiatives
- February 13, 2014 December 19, 2017
- 16:30
FINRA improves expungement process to protect investors
Proposal designed to ensure registration system continues to contain rep information critical to investor protection
- By: James Langton
- February 13, 2014 December 19, 2017
- 14:15
IAP urges Ontario to introduce advisor fiduciary duty
Panel calls on OSC to address OBSI’s inability to enforce recommendations for investor compensation
- By: James Langton
- February 13, 2014 December 19, 2017
- 12:00
IIROC sanctions Ontario rep
Unsuitable investments, undisclosed personal dealings lead to $40,000 fine
- By: Fiona Collie
- February 13, 2014 December 19, 2017
- 11:00
SEC names investor advocate
Rick Fleming to head Office of the Investor Advocate
- By: James Langton
- February 12, 2014 December 19, 2017
- 15:24
Feds stand pat on national regulator
Although Ottawa warned that it would introduce legislation for a co-operative securities regulator, it has not included such a measure in this year’s budget
- By: James Langton
- February 11, 2014 October 21, 2019
- 16:45
Ex rep fined for failing to disclose U.S. registration
The former PWM Capital rep was also fined for failing to conduct adequate due diligence
- By: IE Staff
- February 10, 2014 December 19, 2017
- 14:00
MFDA launches whistleblower program
Program’s goal is the early identification of possible fraud
- By: James Langton
- February 7, 2014 December 19, 2017
- 17:05
OSC sanctions pair, reciprocates ASC order
OSC hands down orders against Victor DeLaet and Stanley Gitzel
- By: James Langton
- February 7, 2014 December 19, 2017
- 16:30
IMF should butt out of regulator debate, AMF says
Quebec regulator takes issue with endorsement of co-operative securities regulator
- By: James Langton
- February 7, 2014 December 19, 2017
- 13:30
OSC switches to mandatory electronic filing on Feb. 19
The change helps streamline the document submission process, while improving compliance and enforcement capabilities
- By: James Langton
- February 7, 2014 December 19, 2017
- 11:55
FINRA reaches deal with BATS Global Markets
FINRA will now oversee 99% of the U.S. equity market
- By: James Langton
- February 6, 2014 December 19, 2017
- 14:50