Review finds disclosure deficiencies at EMDs, portfolio managers
CSA sets out recommendations to improve relationship disclosure practices
- By: James Langton
- July 18, 2013 December 19, 2017
- 10:25
Latest news in From the Regulators
Halifax rep fined $60,000
John Brodie made unsuitable investment recommendations and unauthorized trades, according to IIROC
- By: Fiona Collie
- July 18, 2013 December 19, 2017
- 09:00
Ex Goldman director paying US$13.9 million to settle tipping charges
SEC alleged Rajat Gupta disclosed confidential information to hedge fund manager
- By: James Langton
- July 18, 2013 December 19, 2017
- 06:30
OSC bans man over illegal distributions
Onix royalty units used to raise funds for encryption software business
- By: James Langton
- July 17, 2013 December 19, 2017
- 16:10
OSC calls on industry to respect the spirit of its rules
Annual report stresses efforts to protect retail investors
- By: James Langton
- July 17, 2013 December 19, 2017
- 13:40
IOSCO issues final principles for financial benchmarks
Principles set out clear standards establishing guidelines for benchmark administrators
- By: James Langton
- July 17, 2013 December 19, 2017
- 09:50
FSB consults on principles for risk appetite framework
Measures aimed at enhancing supervisory oversight of big banks
- By: James Langton
- July 17, 2013 December 19, 2017
- 09:25
FSB issues guidance on recovery and resolution planning
Measure intended to make “too big to fail” banks resolvable without taxpayer support
- By: James Langton
- July 16, 2013 December 19, 2017
- 15:20
CRM 2 reforms now in effect
Amendments ensure all investors receive the same information about the cost and performance of their investments
- By: James Langton
- July 16, 2013 January 19, 2018
- 13:00
IOSCO examines cybercrime risks
Exchanges agree cybercrime in securities markets should be considered a systemic risk
- By: James Langton
- July 16, 2013 December 19, 2017
- 10:30
Former fund salesman fined $25,000
Ontario salesman recommended and sold investments without the knowledge or approval of his dealer firm
- By: Fiona Collie
- July 16, 2013 December 19, 2017
- 09:10
CSA names topics, panel for third ‘best interest’ roundtable
Discussion will focus on whether dealers and advisors should be subject to a best interest standard when providing advice to retail clients, and the alternatives…
- By: James Langton
- July 15, 2013 December 19, 2017
- 11:30
Implementing CRM 2: Practical tips for advisors
Rebecca Cowdery, partner at Borden Ladner Gervais and a specialist in the regulation of investment funds, gives practical tips on how to meet the complex…
- By: Rebecca Cowdery, Paula Virany
- July 15, 2013 December 19, 2017
- 05:30
OSC restarts Hollinger case
Hearing date set for Conrad Black, two former officers
- By: Linda Nguyen
- July 13, 2013 December 19, 2017
- 07:00
Winnipeg rep failed to meet KYC, suitability requirements
Rep and branch manager did not follow the rules set out for a First Nations trust: IIROC panel
- By: Fiona Collie
- July 12, 2013 December 19, 2017
- 11:15
U.S. brokerage fined US$9.5 million for lax trade oversight
Newedge failed to reasonably monitor for potentially manipulative trading, FINRA says
- By: James Langton
- July 12, 2013 December 19, 2017
- 08:40
Provinces to share info with British authorities
Ontario, Alberta and British Columbia have agreed to co-operate with the Bank of England and the Financial Conduct Authority
- By: James Langton
- July 11, 2013 December 19, 2017
- 12:30
Bringing stability to stop loss orders
IIROC guidance on management of stop loss orders aimed at protecting market integrity
- By: James Langton
- July 11, 2013 December 19, 2017
- 11:50
U.S., Europe announce breakthrough on cross-border derivatives
U.S. and European derivatives regulators said Thursday that they have agreed on a common path to proceed with ongoing regulatory reforms, which will see them…
- By: James Langton
- July 11, 2013 December 19, 2017
- 09:00
FINTRAC updates due diligence guidelines
Watchdog seeks comments on proposed changes
- By: James Langton
- July 11, 2013 December 19, 2017
- 07:15
SEC lifts ban on hedge funds advertising to retail investors
Change takes effect in about 60 days
- By: Marcy Gordon
- July 10, 2013 December 19, 2017
- 15:50
U.S. regulators tags AIG and GE Capital as systemically important
Firms to be subject to tougher oversight
- By: James Langton
- July 10, 2013 December 19, 2017
- 08:10
Branch manager fined $15,000
Raymond James manager failed to properly supervise rep who recommended margin borrowing to elderly clients
- By: IE Staff
- July 9, 2013 December 19, 2017
- 15:00
AMF warns of possible investment scam
Traditional and alternative energy investments are becoming increasingly attractive to fraudsters
- By: James Langton
- July 9, 2013 December 19, 2017
- 14:00
U.S. regulators propose stricter leverage rations for big banks
Big firms would have to maintain a tier 1 capital leverage buffer above the minimum Basel III requirement
- By: James Langton
- July 9, 2013 December 19, 2017
- 12:00