SEC flags due diligence failings on hedge fund recommendations
Risk alert examines the due diligence advisors use when they put clients into alternative investments
- By: James Langton
- January 28, 2014 December 19, 2017
- 13:50
Latest news in From the Regulators
FCSC launches public awareness campaign
N.B. financial regulator creates new consumer website
- By: IE Staff
- January 28, 2014 December 19, 2017
- 09:50
ASC aims to improve how investigators receive records
New rule sets requirements for providing electronic records
- By: James Langton
- January 27, 2014 December 19, 2017
- 17:00
IOSCO fight against financial misconduct gains another ally
100th signatory of MMoU a significant milestone
- By: James Langton
- January 24, 2014 December 19, 2017
- 16:00
CSA narrows focus of ABCP reforms
Comprehensive reforms initially sought are not necessary, regulators say
- By: James Langton
- January 23, 2014 December 19, 2017
- 12:30
Vancouver rep made unsuitable recommendations: IIROC
Separate hearing to determine penalty
- By: Fiona Collie
- January 22, 2014 December 19, 2017
- 11:55
B.C. insurance regulator suspends agent
Part-time agent’s improper use of database results in 18-month suspension
- By: James Langton
- January 21, 2014 December 19, 2017
- 14:40
OSC case against Money Plus to proceed
Allegations of bias dismissed
- By: James Langton
- January 21, 2014 December 19, 2017
- 14:00
OSFI proposes early notice for new execs
Firms would be required to notify OSFI of pending changes to their senior management and boards
- By: James Langton
- January 20, 2014 December 19, 2017
- 13:50
OSC seeks members for Small and Medium Enterprises Committee
SMEC members will be expected to provide input the impact of possible new prospectus exemptions that are being considered by the OSC
- By: James Langton
- January 20, 2014 December 19, 2017
- 12:30
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
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