Regulators approve MFDA rule changes
New rules will give dealers greater flexibility in supervising branch offices
- By: James Langton
- September 12, 2013 December 19, 2017
- 15:40
Latest news in From the Regulators
MIEs are not investment funds: OSC
MIEs should be regulated as operating businesses not investment funds, says OSC
- By: James Langton
- September 12, 2013 December 19, 2017
- 15:30
Majority of Americans approached by fraudsters: FINRA
Survey reveals 80% of Americans over 40 have been solicited by potential scams
- By: James Langton
- September 12, 2013 December 19, 2017
- 11:10
SEC helps investors make sense of advisor titles
Bulletin highlights the confusing, unregulated nature of professional titles
- By: James Langton
- September 11, 2013 December 19, 2017
- 15:50
Former fund sales rep fined $650,000
MFDA panel finds that Dorothy Siu Wah Chan misappropriated more than $750,000
- By: IE Staff
- September 11, 2013 December 19, 2017
- 15:40
IIROC focused on minimizing regulatory burden: Wolburgh Jenah
SRO members elect new board of directors at annual general meeting
- By: James Langton
- September 11, 2013 December 19, 2017
- 13:50
Lall pleads guilty to fraud
ASC first brought charges against Amarinder Singh Lall in 2011
- By: IE Staff
- September 10, 2013 December 19, 2017
- 15:50
BCSC upholds MFDA decision
BCSC agrees with MFDA decision regarding former mutual fund rep Marlene Legare
- By: IE Staff
- September 10, 2013 December 19, 2017
- 14:15
FCA to review British savings market
UK's regulators aim to ensure financial markets are working well for consumers
- By: James Langton
- September 9, 2013 December 19, 2017
- 16:20
B.C. mining company illegally distributed securities
BCSC panel found a mining company and two residents illegal sold securities to seven investors
- By: James Langton
- September 9, 2013 December 19, 2017
- 14:20
CFTC to modernize regulatory framework
Paper considers updates for market risk controls and systems safeguards
- By: James Langton
- September 9, 2013 December 19, 2017
- 12:25
Lost device to cost IIROC $5.2 million
Annual report details cost of lost device and projects an increase in operating expenses
- By: James Langton
- September 4, 2013 December 19, 2017
- 13:15
OSC settles with wife of fraudster
Juliet Winget must pay $575,000 in monetary sanctions
- By: James Langton
- September 4, 2013 December 19, 2017
- 11:50
“Too-big-to-fail” status remains a problem: FSB
Report finds improvements are being made but moral hazard still exists in the financial system
- By: James Langton
- September 3, 2013 December 19, 2017
- 14:50
FSB publishes shadow banking system recommendations
Latest recommendations will strengthen the oversight and regulation of shadow banking
- By: James Langton
- August 30, 2013 December 19, 2017
- 16:00
Regulators commit to OTC derivatives reforms
Report outlines cross-border plans to implement changes in OTC derivatives markets
- By: James Langton
- August 30, 2013 December 19, 2017
- 14:20
Industry remains too dependent on credit ratings: FSB
Identifying suitable alternatives to credit ratings remains a major challenge, says Financial Stability Board
- By: James Langton
- August 30, 2013 December 19, 2017
- 11:50
Ex-Goldman Sachs trader fined $500,000
Former U.S. trader hid the true size and risk of an e-mini futures position
- By: James Langton
- August 30, 2013 December 19, 2017
- 09:55
e3m granted registration exemption
OSC allows brokerage firm to remain registered despite insufficient capital
- By: James Langton
- August 29, 2013 December 19, 2017
- 15:05
IIROC allows electronic disclosure
Firms can provide links to disclosure materials in research reports delivered electronically
- By: James Langton
- August 29, 2013 December 19, 2017
- 12:45
OSFI to allow swaps for pension plans
Draft advisory policy lets pension plans use swaps or insurance contracts to reduce longevity risk
- By: James Langton
- August 29, 2013 December 19, 2017
- 12:35
U.S. agencies revise proposed risk retention rule
The proposed rule would provide sponsors of asset-backed securities with several options to satisfy the risk retention requirements
- By: James Langton
- August 28, 2013 December 19, 2017
- 12:35
OSC announces next steps in exempt market review
Commission continues work on developing four new possible exemptions, including crowdfunding
- By: James Langton
- August 28, 2013 December 19, 2017
- 10:50
Ontario advisor fined $50,000
Advisor purchased unsuitable securities for clients and engaged in unauthorized trading
- By: Fiona Collie
- August 28, 2013 December 19, 2017
- 09:15
SEC calls on advisors to review disaster recovery planning
Review finds deficiencies with business continuity plans of some firms
- By: James Langton
- August 28, 2013 December 19, 2017
- 08:30