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
Latest news in From the Regulators
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Investor alert against Sterling Grace rescinded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
FSB, IOSCO widen net for too big to fail firms
Regulators proposed methods for identifying systemically important asset managers and brokerage firms
- By: James Langton
- January 8, 2014 December 19, 2017
- 15:00
Zietsoff banned over multimillion dollar securities fraud
The Ponzi scheme took in about $15.3 million from more than 80 victims in Canada and the U.S
- By: James Langton
- January 7, 2014 December 19, 2017
- 13:50
Winick’s girlfriend part of fraud: OSC
Regulator says Andrea McCarthy acquiesced to fraud by BFM Industries Inc. and Liquid Gold International Inc.
- By: James Langton
- January 6, 2014 December 19, 2017
- 13:55
CSA announces cutover date for online filing
CGI to take over responsibility of hosting SEDAR, SEDI and NRD on Jan. 13
- By: James Langton
- January 3, 2014 December 19, 2017
- 11:40
FINRA sets 2014 regulatory and exam priorities
Concerns about suitability top the list
- By: James Langton
- January 2, 2014 December 19, 2017
- 14:00
OSC issues reasons for sanctions in American Heritage case
The $750,000 administrative penalty levied against Sandy Winick is $500,000 less than the penalty sought by OSC staff
- By: James Langton
- January 2, 2014 December 19, 2017
- 09:30
MFDA to amend compliance exam process
Changes intended to further integrate risk-based methodology
- By: James Langton
- December 23, 2013 December 19, 2017
- 15:55
FINRA proposes account monitoring system
CARDS program will help protect investors from sales practice misconduct
- By: James Langton
- December 23, 2013 December 19, 2017
- 15:15
Ex rep accused of giving misleading advice
Exempt market securities misrepresented as a prudent investment
- By: James Langton
- December 23, 2013 December 19, 2017
- 14:45
OSC issues sanctions in American Heritage case
Advance fee scheme nets $100,000 penalty
- By: James Langton
- December 23, 2013 December 19, 2017
- 13:30
SEC report provides framework for disclosure reform
U.S. regulator looking to update rules that dictate what a company must disclose in its filings
- By: James Langton
- December 20, 2013 December 19, 2017
- 14:10
2015 issues draft MCT guideline for insurers
The total capital impact of the new rules will increase the minimum capital test ratio by four percentage points
- By: James Langton
- December 20, 2013 December 19, 2017
- 13:45