SEC considering new target date fund disclosure
U.S. regulator seeks comment on IAC’s proposal for funds to illustrate their “glide path”
- By: James Langton
- April 4, 2014 December 19, 2017
- 08:40
Latest news in From the Regulators
U.S. regulators warn banks about cyber attacks
Financial institutions are expected to address DDoS readiness as part of their ongoing information security plans
- By: James Langton
- April 3, 2014 December 19, 2017
- 15:30
IIROC proposes marketplace thresholds
Proposed guidance would require exchanges to adopt price and volume thresholds to avoid trading volatility
- By: James Langton
- April 3, 2014 December 19, 2017
- 13:00
OSC to rule on embedded commissions in 2015
The regulator is looking for comments on its Draft 2014-2015 Statement of Priorities
- By: James Langton
- April 3, 2014 December 19, 2017
- 11:10
IIROC guidance sets out expectations for part-time CFOs
Dealers must actively manage conflicts of interest and preserve confidentiality
- By: James Langton
- April 3, 2014 December 19, 2017
- 08:15
Alberta proposes alternative regulator model
A new national enforcement agency would deal with criminal and quasi-criminal misconduct
- By: James Langton
- April 3, 2014 December 19, 2017
- 07:30
EU proposes rules to improve disclosure for retail investors
Draft rules require firms to provide a mandatory Key Information Document
- By: James Langton
- April 2, 2014 December 19, 2017
- 11:15
OSFI flags risks facing reinsurers
Dickson cites longevity risk and cyber security in speech to reinsurance conference
- By: James Langton
- April 2, 2014 December 19, 2017
- 10:20
Ex Assante advisor violated IIROC rules
Brian Malley has been charged in the death of a client and is facing a class action suit from several former clients
- By: James Langton
- April 1, 2014 December 19, 2017
- 15:55
OSFI to bolster supervisory practices
Federal financial regulator publishes priorities for 2014-2017
- By: James Langton
- April 1, 2014 December 19, 2017
- 13:30
Kaptor CEO traded without registration, OSC alleges
The firm raised $90 million from investors between 2005 and 2011
- By: James Langton
- March 31, 2014 December 19, 2017
- 16:15
OSC permanently bans convicted fraudster
Arvind Sanmugam pled guilty to fraud in 2012
- By: James Langton
- March 31, 2014 December 19, 2017
- 15:50
FSCO plans suitability review
Draft statement of priorities includes a pledge to undertake product suitability reviews of life insurance and mortgage broker products
- By: James Langton
- March 31, 2014 December 19, 2017
- 14:15
Derivatives regulators give update on cross-border reforms
Report identifies the current list of remaining cross-border implementation issues, and a timetable for addressing them
- By: James Langton
- March 31, 2014 December 19, 2017
- 11:25
OSFI beefs up disclosure rules for big banks
Advisory clarifies the implementation in Canada of framework for global systemically important banks
- By: James Langton
- March 31, 2014 December 19, 2017
- 11:10
More OSC staff land on ‘sunshine list’
Chairman’s pay stays flat at $715,000
- By: James Langton
- March 28, 2014 December 19, 2017
- 15:00
SEC freezes assets of alleged Ponzi scheme
New Brunswick and Quebec regulators had previously warned investors about WCM and WCM777
- By: James Langton
- March 28, 2014 December 19, 2017
- 14:40
IIROC mulls guidance on best execution
Survey flags a number of concerns with dealers’ practices
- By: James Langton
- March 28, 2014 December 19, 2017
- 12:30
OSC bans analyst
Regulator says independent analyst had undisclosed financial interests in some of the companies that she covered
- By: James Langton
- March 28, 2014 December 19, 2017
- 09:30
MFDA bolsters enforcement
2013 enforcement report shows an increase in investigations, hearings and sanctions
- By: James Langton
- March 27, 2014 December 19, 2017
- 16:15
Dealers need to better align industry and investor interests
The goal of ensuring the industry puts client interests first has been at the heart of recent reforms, says IIROC CEO
- By: James Langton
- March 27, 2014 December 19, 2017
- 16:00
Wiretaps an effective tool, Wetston says
Wiretaps would be used for gathering evidence of insider trading and tipping
- By: Fiona Collie
- March 27, 2014 December 19, 2017
- 15:20
CFTC, Canadian regulators enhance cross-border supervision
Four provinces sign MOU with U.S. derivatives regulator
- By: James Langton
- March 27, 2014 December 19, 2017
- 11:30
CSA proposes pre-sale delivery of Fund Facts
The aim is to help investors make more informed decisions by them key information about a mutual fund
- By: James Langton
- March 26, 2014 December 19, 2017
- 10:30
British regulator fines Spanish bank’s UK unit for poor advice
Santander UK fined $22.9 million by Financial Conduct Authority
- By: James Langton
- March 26, 2014 December 19, 2017
- 08:15