Existing regulatory regime failed to fully capture all the activities of financial conglomerates during the financial crisis
A lack of clarity on the quality of capital may have contributed to uncertainty during the financial crisis
Regulator cities recruitment, training and supervision of sales agents
Latest move intended to keep the businesses of banks and insurers separate, Flaherty says
2.6% increases apply to several fees
The U.S. self-regulatory organization has ordered more than US$19 million in restitution to harmed investors
OSC approves amendments to Toronto Stock Exchange rules
Regulator believes ruling harms investors by depriving them of “substantial, certain and immediate benefits”
Amendments intended to reduce administrative burden
Draft is a response to rule changes resulting from registration reform
The Ontario regulator has suspended the registration of Blueport Capital and John Hare
Proposed tax rules for PRPPs will apply to both federally and provincially regulated plans
Regulator will maintain its current approach of addressing issues directly as they arise
Planned changes in the United States have Canadian regulators pondering possible changes
If the Supreme Court of Canada rules that Ottawa does have jurisdiction to create a single regulator, Alberta is ready to co-operate, finance minister says
Sirianni permanently banned
Report describes why the FSA concluded that there was not sufficient evidence to bring enforcement action against Royal Bank of Scotland management
Regulator asks consumers and industry how victims of financial fraud should be compensated and under what circumstances
Delcourt and Stewart conducted their business as portfolio managers without proper registration
The meeting addressed cross-border issues related to the implementation of new legislation and rules to govern the OTC derivatives markets
The proposed acquisition of Alpha by Maple Group may have implications for governance and conflicts of interest mechanisms in place for exchanges
Updated guidance indicates that all methods of communication, including social media, are subject to the IIROC’s rules
New guidance for non-executive directors of financial firms aims to assist them in understanding their role
Proposals would cover 15 banks
Unauthorized firms offering foreign exchange investment