Cyber security top priority: OSFI
Bank watchdog says cyber security and low interest rates are major concerns for the industry
- By: James Langton
- May 3, 2013 December 19, 2017
- 11:00
Latest news in From the Regulators
OSC considers insider trading settlement
Hearing set to consider a settlement with a former BMO analyst accused of insider trading
- By: James Langton
- May 3, 2013 December 19, 2017
- 10:40
IOSCO updates investment funds principles
Report sets out new guidelines for valuing collective investment schemes
- By: James Langton
- May 3, 2013 December 19, 2017
- 08:40
IIROC seeks market structure experts
Regulator wants a third-party opinion on the effects of HFT on market quality and integrity
- By: James Langton
- May 3, 2013 December 19, 2017
- 07:40
OSC to host roundtables to explore fiduciary duty for advisors
Regulator will hold one session for investors, another for advisors, industry groups
- By: James Langton
- May 2, 2013 December 19, 2017
- 10:25
British lenders urged to ensure borrowers are on track
Nearly half of borrowers whose mortgages mature by 2020 are likely to face a shortfall: FCA
- By: James Langton
- May 2, 2013 December 19, 2017
- 08:50
Scotia Capital agrees to $65,000 penalty from BCSC
Firm made trades in securities of 14 companies that were subject to cease trade orders
- By: James Langton
- May 2, 2013 December 19, 2017
- 07:55
OSFI releases satisfaction survey
Overall stakeholders are happy with federal banking regulator
- By: James Langton
- May 1, 2013 December 19, 2017
- 16:45
IIROC faces possible class action for lost data
Montreal-based firm files $52 million class action against the SRO
- By: James Langton
- May 1, 2013 December 19, 2017
- 14:50
SEC proposes new rules
Proposed rules and guidance relate to cross-border swaps
- By: James Langton
- May 1, 2013 December 19, 2017
- 13:45
Understand advisor titles: NASAA
NASAA reminds investors about the different types of financial advisors in the U.S.
- By: James Langton
- April 30, 2013 December 19, 2017
- 16:20
MFDA releases enforcement report
SRO reports almost $3.5 million in fines, victims from vulnerable groups account for roughly 30% of cases in 2012
- By: James Langton
- April 29, 2013 December 19, 2017
- 15:45
OSC follows BCSC order
Regulator issues a reciprocal order to ban a B.C.-based firm and two individuals
- By: James Langton
- April 29, 2013 December 19, 2017
- 14:20
No penalty for fictional individuals and firms: OSC
Regulator releases panel decisions on securities fraud allegations involving made-up companies and individuals
- By: James Langton
- April 29, 2013 December 19, 2017
- 14:05
CSA reviewing IIROC data loss
Regulators examining IIROC policies and procedures
- By: James Langton
- April 26, 2013 December 19, 2017
- 16:20
IIROC terminates Jory Capital membership
A lack of liquid assets has led to the Winnipeg-based firm’s suspension in several provinces
- By: James Langton
- April 26, 2013 December 19, 2017
- 10:50
New service provider for CSA National systems
Canadian Securities Administrators chooses CGI to operate SEDAR, SEDI and NRD
- By: James Langton
- April 25, 2013 December 19, 2017
- 16:15
MFDA fines former advisor $6 million
Penalty against Paul Yoannou is one of the largest levied by the MFDA
- By: Fiona Collie
- April 25, 2013 December 19, 2017
- 12:55
OSC eases disclosure for foreign offerings
Amendments will remove certain domestic disclosure requirements for foreign private placements
- By: James Langton
- April 25, 2013 December 19, 2017
- 10:40
Victims of financial crime get support from AMF
Quebec regulator signs agreement with Montreal Crime Victims Assistance Centre
- By: James Langton
- April 24, 2013 December 19, 2017
- 15:55
B.C. portfolio manager to pay $50,000
Quantum Financial Services agrees to BCSC fine for repeated procedural deficiencies
- By: IE Staff
- April 24, 2013 December 19, 2017
- 15:10
Capital One settles SEC auto loan charges
The credit card company will pay $3.5 million for failing to properly account for losses in its auto finance business in 2007
- By: James Langton
- April 24, 2013 December 19, 2017
- 13:55
OSC settles fraud charges
Several firms and CEO pay a total of $6.6 million as part of settlement agreement
- By: James Langton
- April 24, 2013 December 19, 2017
- 13:50
IIROC fines two B.C. brokers
The brokers were fined $500,000 and $100,000 respectively for failing in their roles as gatekeepers
- By: Fiona Collie
- April 24, 2013 December 19, 2017
- 10:20