AMF suspends MonArc Money Solutions
Mutual fund dealer failed to improve supervisory arrangements
- By: James Langton
- October 18, 2013 December 19, 2017
- 12:05
Latest news in From the Regulators
Easing regulation won’t lift junior miners: report
Review of B.C. mining sector blames market conditions for struggling firms
- By: James Langton
- October 17, 2013 December 19, 2017
- 13:20
CSA proposes tougher audit firm disclosure
Firms would be required to report when the Canadian Public Accountability Board (CPAB) has imposed significant remedial actions on them
- By: James Langton
- October 17, 2013 December 19, 2017
- 12:35
CSA proposes changes to oil and gas disclosure requirements
Amendments designed to promote better disclosure of resources other than reserves
- By: James Langton
- October 17, 2013 December 19, 2017
- 10:50
New York AG names investor protection chief
Chad Johnson to lead Investor Protection Bureau
- By: James Langton
- October 16, 2013 December 19, 2017
- 15:35
JPMorgan Chase to pay US$100 million in trading case
CFTC settles with firm over “London Whale” trades
- By: James Langton
- October 16, 2013 December 19, 2017
- 14:00
Knight Capital fined $12 million by SEC for trading violations
Software glitch disrupted markets in August 2012
- By: James Langton
- October 16, 2013 December 19, 2017
- 13:10
Report suggests evolving capital markets in New Brunswick
2012 activity greatly influenced by large-scale energy deal
- By: James Langton
- October 16, 2013 December 19, 2017
- 10:25
FINRA calls for brokers to better manage conflicts of interest
New report details best practices to help firms strengthen their own frameworks for dealing with conflicts
- By: James Langton
- October 16, 2013 December 19, 2017
- 09:00
Low rates named top threat to securities markets
IOSCO launches its first securities markets risk outlook
- By: James Langton
- October 16, 2013 December 19, 2017
- 08:40
OSFI proposes changes to fee model
Reforms would take greater account of the risk that an institution poses to the financial system
- By: James Langton
- October 15, 2013 December 19, 2017
- 16:10
IIROC to improve oversight of electronic trading
The proposed amendments are designed to ensure that all electronic trading, regardless of channel, has the same level of supervision
- By: James Langton
- October 15, 2013 December 19, 2017
- 15:40
NASAA releases top threats list
Virtual currencies have provided fertile ground for scam artists
- By: James Langton
- October 15, 2013 December 19, 2017
- 14:30
Consistent wins needed for OSC to achieve deterrence goals, experts say
The success of any enforcement program is measured by perception
- By: Romina Maurino
- October 15, 2013 December 19, 2017
- 13:45
Global regulators consult on risk reporting standard for CCPs
Global regulators consult on risk reporting standard for CCPs
- By: James Langton
- October 15, 2013 December 19, 2017
- 13:10
British regulator to publish warning notices
FCA to announce when firms are under investigation
- By: James Langton
- October 15, 2013 December 19, 2017
- 11:30
Insurance regulators plan global capital standard
IAIS is committed to develop by 2016 risk-based capital rules for major insurers
- By: James Langton
- October 15, 2013 December 19, 2017
- 10:15
FINRA to investors: Know what you’re buying
Alert provides a series of practical steps investors should take before investing
- By: James Langton
- October 11, 2013 December 19, 2017
- 13:50
MFDA to conform with CRM reforms
Amendments would revise rules to mirror the CSA’s CRM 2 requirements on relationship disclosure, transaction fees and trade confirmations
- By: James Langton
- October 11, 2013 December 19, 2017
- 10:20
Exempt market dealer banned, ordered to disgorge $1.8 million
OSC bans Gentree Asset Management and its chief compliance officer for improperly distributing securities and misleading investors
- By: James Langton
- October 11, 2013 December 19, 2017
- 10:00
CFDs to be sold without a prospectus: OSC
CMC Markets will provide investors with a plain language risk disclosure document
- By: James Langton
- October 10, 2013 December 19, 2017
- 14:10
OSC revokes registration of exempt market dealer
FCPF Corp. traded securities while its registration was suspended
- By: James Langton
- October 10, 2013 December 19, 2017
- 13:30
OSC exempts SEFs from having to register as exchanges
Swap execution facilities are marketplaces for trading swaps in the U.S
- By: James Langton
- October 10, 2013 December 19, 2017
- 12:40
FINRA releases advocate’s guide to helping fraud victims
The new guide is designed for consumer advocates, lawyers, counselors and others that help victims of financial fraud
- By: James Langton
- October 10, 2013 December 19, 2017
- 07:15
Results of continuous disclosure reviews ‘mostly satisfactory’: AMF
312 investment funds faced one or more full, or issue-oriented reviews
- By: James Langton
- October 10, 2013 December 19, 2017
- 07:00