Court rules damage insurance consultants must register with AMF
The practice of damage insurance consultants includes activities that are reserved for registered firms and representatives
- By: James Langton
- January 20, 2014 December 19, 2017
- 12:00
Latest news in From the Regulators
Broker fined $100,000 for breaching suitability rules
BCSC panel rules out suspension for Victoria broker Carolann Steinhoff
- By: IE Staff
- January 17, 2014 December 19, 2017
- 17:20
IIROC sanctions against dealers rose sharply in 2013
Meanwhile sanctions ordered against individuals dropped significantly
- By: James Langton
- January 17, 2014 December 19, 2017
- 16:50
Nova Scotia grants exemption to community funds
Community Economic Development Investment Funds, which are run by non-professional managers, are intended to encourage capital raising by small, community based issuers
- By: James Langton
- January 17, 2014 December 19, 2017
- 16:00
AMF to fund six financial education programs
Quebec regulator to offer $400,000 in support form the Education and Good Governance Fund
- By: James Langton
- January 17, 2014 December 19, 2017
- 08:40
OSC issues penalties against Khodjaiants and Dubinsky
Pair ordered to cease trading for 15 years, disgorge US$1 million
- By: James Langton
- January 16, 2014 December 19, 2017
- 16:30
CSA proposes rules for central counterparty clearing
Regulators aim to boost the protection of customer collateral and positions, and to increase the resilience of derivatives clearing agencies
- By: James Langton
- January 16, 2014 December 19, 2017
- 13:25
OSC moving ahead with diversity disclosure
Proposed amendments would require firms to report on efforts to include women on corporate boards
- By: James Langton
- January 16, 2014 December 19, 2017
- 10:50
Counterparty risk assessments fall short: SSG
Despite some progress, current assessment practices for counterparty risk fails to meet regulators’ expectations
- By: James Langton
- January 15, 2014 December 19, 2017
- 13:20
Basel issues new anti-money laundering guidelines
Global bank regulators issued new guidelines today that aim to ensure banks are adequately managing risks related to money laundering and terrorist financing. The Basel…
- By: James Langton
- January 15, 2014 December 19, 2017
- 13:05
IIROC lists its 2014 priorities
Report outlines new initiatives including guidance for working with senior investors
- By: James Langton
- January 14, 2014 December 19, 2017
- 15:20
New compliance projects for MFDA
Regulator plans to examine cost sharing agreements and reps selling syndicated mortgages
- By: James Langton
- January 14, 2014 December 19, 2017
- 13:20
Dilution of Basel leverage ratio assists trading banks: Fitch
Revisions make it easier for banks to meet their leverage ratio requirements
- By: James Langton
- January 14, 2014 December 19, 2017
- 11:10
FINRA warns of marijuana stock scams
The legalization of marijuana for medical and recreational purposes is getting attention from scammers
- By: James Langton
- January 14, 2014 December 19, 2017
- 09:30
Regulators plan new oversight for CDOR
OSFI will take responsibility for supervising rate governance and risk controls, in wake of LIBOR manipulation
- By: James Langton
- January 13, 2014 December 19, 2017
- 13:00
Rep recommended off-book investments: IIROC
Ontario rep relied on second-hand information from her husband that an investment qualified for exempt status
- By: Fiona Collie
- January 13, 2014 December 19, 2017
- 12:30
IIROC updates guidance on outsourcing, clearing
Regulator spells out its expectations for the due diligence that firms must carry out before outsourcing any activity
- By: James Langton
- January 13, 2014 December 19, 2017
- 11:50
New Basel III rules move forward
GHOS recently approved changes for more standardized accounting processes
- By: James Langton
- January 13, 2014 December 19, 2017
- 10:30
BCSC warns of binary options trading platforms
Offshore trading platforms are unregistered and unregulated
- By: James Langton
- January 10, 2014 December 19, 2017
- 16:00
OSC stays EMD suspension order
Investor alert against Sterling Grace rescinded
- By: James Langton
- January 9, 2014 December 19, 2017
- 17:05
SEC sets 2014 compliance exam priorities
U.s. regulator to focus on fraud and sales practices, among other issues
- By: James Langton
- January 9, 2014 December 19, 2017
- 16:30
IIROC revises proposed debt transaction reporting rule
The changes are aimed at enabling more effective oversight of debt trading
- By: James Langton
- January 9, 2014 December 19, 2017
- 14:30
CSA issues KYC guidance for EMDs and portfolio managers
The regulator’s goal is to enhance overall compliance at firms that don’t belong to a self-regulatory organization
- By: James Langton
- January 9, 2014 December 19, 2017
- 13:00
OSC announces agenda for proxy voting roundtable
Panels to discuss vote reconciliation and end-to-end vote confirmation
- By: James Langton
- January 9, 2014 December 19, 2017
- 08:30