FINRA creates new investor committee
Investor Issues Committee to advise U.S. regulator on issues that significantly impact both retail and institutional investors
- By: James Langton
- December 17, 2013 December 19, 2017
- 15:30
Latest news in From the Regulators
CSA proposals for fund fees, best interest duty come together
Status reports conclude more work is necessary in both areas
- By: James Langton
- December 17, 2013 October 15, 2019
- 11:30
OSC imposes sanctions in New Gold case
Convicted fraudster ordered to pay $1 million penalty
- By: James Langton
- December 16, 2013 December 19, 2017
- 16:00
Compelled testimony admissible: OSC
The weight this evidence will receive in a hearing will be determined by an OSC panel
- By: James Langton
- December 16, 2013 December 19, 2017
- 15:00
Affiliate members strengthen consultative role within IOSCO
IOSCO Affiliate Members Consultative Committee approves three new work streams
- By: James Langton
- December 16, 2013 December 19, 2017
- 12:00
Basel Committee revises rules for banks’ investments in funds
The new rules are scheduled to take effect in January 2017
- By: James Langton
- December 16, 2013 December 19, 2017
- 11:40
Dundee fined $110,000 for failing to supervise accounts
Regina rep had elderly clients with low risk tolerance invested in equities and holding a margin account
- December 16, 2013 December 19, 2017
- 11:30
AMF fees to rise
Fees to climb by as much as 1.1%
- By: James Langton
- December 13, 2013 December 19, 2017
- 16:35
CSA seeks input on risk methodology for funds
Inconsistent measurements of risk in Fund Facts documents would make comparisons between mutual funds more difficult
- By: James Langton
- December 12, 2013 December 19, 2017
- 13:40
Fast-evolving electronic trading a risk to industry
OSC updates its review of the risks associated with electronic trading
- By: James Langton
- December 12, 2013 December 19, 2017
- 12:00
Restrictions on personal financial dealings to be reviewed in new year
IIROC to respond to concerns regarding the scope of dealings that are prohibited by the current rules
- By: James Langton
- December 11, 2013 December 19, 2017
- 13:15
Supplemental accounting measures a concern, says OSC
Review finds widespread weaknesses in disclosure that may lead to investor confusion
- By: James Langton
- December 11, 2013 December 19, 2017
- 13:00
IIROC proposes more circuit breakers
List of single-stock circuit breakers would include all securities that are considered “actively traded”
- By: James Langton
- December 11, 2013 December 19, 2017
- 12:50
OSC expands Registrant Outreach program
Four new seminars added to assist registrants with strengthening their compliance practices
- By: James Langton
- December 11, 2013 December 19, 2017
- 11:00
Toronto man charged with unregistered trading
The OSC says the charge relates to David Borg’s alleged role in selling shares of Enriching Pictures
- By: James Langton
- December 11, 2013 December 19, 2017
- 10:00
IIROC backs away from odd lot trades
The regulator is discontinuing its former practice of cancelling or varying certain odd lot trades
- By: James Langton
- December 11, 2013 December 19, 2017
- 08:00
U.S. regulators approve Volcker rule
The rule seeks to stop banks from taking the kind of trading risks that led to the 2008 financial crisis
- By: James Langton
- December 10, 2013 December 19, 2017
- 15:00
IIROC compliance report outlines key priorities
Compliance reviews in 2014 to focus on CRM 2 reforms, conflicts of interest and social media usage
- By: James Langton
- December 10, 2013 December 19, 2017
- 11:40
Pair charged with unregistered trading, breaching OSC order
Charges follow JSOT investigation
- By: James Langton
- December 9, 2013 December 19, 2017
- 16:30
OSC to host derivatives seminar
The seminar will cover reporting requirements for OSC Rule 91-506
- By: IE Staff
- December 9, 2013 December 19, 2017
- 11:40
Vancouver rep fined $20,000
Rep failed to conduct proper due diligence of shares held in a client’s account
- By: Fiona Collie
- December 9, 2013 December 19, 2017
- 10:15
MFDA approves three industry directors
Rule amendments approved at annual general meeting
- By: James Langton
- December 6, 2013 December 19, 2017
- 16:20
Saskatchewan approves equity crowdfunding
Companies allowed to raise $150,000 twice per year; investors limited to risking $1,500 per offering
- By: James Langton
- December 6, 2013 December 19, 2017
- 14:30
OSC, CPAB agree to share information
Agencies working to support higher quality auditing and investor confidence in financial reporting
- By: James Langton
- December 5, 2013 December 19, 2017
- 15:10
CSA proposes changes to registration rules
The proposed amendments aim to improve compliance and investor protection
- By: James Langton
- December 5, 2013 December 19, 2017
- 12:40