FCA continues commitment to diversity
The U.K. financial regulator has set targets to ensure that its senior leadership reflects its continued commitment to diversity and inclusion
- October 11, 2011 October 11, 2011
- 11:33
Latest news in From the Regulators
OSC issues warning on Rosswell Group
Online firm is not registered to sell securities in Ontario
- By: IE Staff
- October 11, 2011 December 14, 2017
- 10:00
FAIR Canada calls for better leverage regulation
Advocacy group recommends full disclosure of commissions and other remuneration arising from leverage recommendations
- By: James Langton
- October 7, 2011 October 7, 2011
- 20:40
OSC seeks input on Maple Group takeover of TMX Group
Regulator seeking public comment on whether the proposal is in the public interest
- By: James Langton
- October 7, 2011 October 7, 2011
- 19:35
ASC launches contest to kick off investor education month
The goal is to encourage investors to use the ASC’s investor education, investing and fraud prevention resources
- By: IE Staff
- October 6, 2011 October 6, 2011
- 18:13
NSSC program promotes financial literacy in the classroom
Live Stock Adventure helps teach safe investing and financial literacy skills to middle school students
- By: IE Staff
- October 6, 2011 October 6, 2011
- 18:06
FINRA can’t sue to collect fines
U.S. court says regulator exceeded its power
- By: James Langton
- October 6, 2011 October 6, 2011
- 18:01
OSFI revises capital rules for P&C insurers
Regulator to postpone the implementation of FX risk margin until 2013
- October 5, 2011 October 5, 2011
- 13:35
U.S. regulator issues alert on public nontraded REITs
Sales pitches might play up high yields while glossing over the lack of liquidity, fees and other risks
- October 4, 2011 October 4, 2011
- 15:58
SROs can do more to foster competition: report
More can be done by the professions and government to strike the right balance between competition and regulation
- October 3, 2011 October 3, 2011
- 15:45
Ottawa wants Carney appointed world’s top banking regulator
Flaherty says he has taken steps to promote Bank of Canada governor as the next head of the Financial Stability Board
- By: Julian Beltrame
- October 3, 2011 October 3, 2011
- 15:10
OSC director grants rep a “second chance” at registration
Alexander Adams made an “honest mistake” on his application
- October 2, 2011 October 2, 2011
- 15:15
Former Norbourg execs get eight years each in $115 million fraud case
Jean Cholette and Serge Beugre were each found guilty last March of more than 100 charges
- By: The Canadian Press
- October 2, 2011 October 2, 2011
- 15:10
Deutsche Bank Securities fails to halt IIROC hearing
OSC says firm could still bring a motion for a stay at a later stage, or seek a review of any final decision in the…
- October 2, 2011 October 2, 2011
- 13:55
SEC issues alert on master/sub-account risks
Account structures could be used to facilitate a variety of financial crimes
- September 30, 2011 September 30, 2011
- 07:42
FINTRAC fines two financial firms
Jory Capital, Services Financiers C.M fined for violating anti-money laundering rules
- September 29, 2011 September 29, 2011
- 15:25
Raymond James ordered to repay US$1.7 million to investors
More than 15,500 investors were charged unfair and unreasonable commissions, FINRA says
- September 29, 2011 September 29, 2011
- 13:45
IIROC reviewing U.S. proposed changes to circuit breakers
U.S. securities industry supports SEC proposals
- September 28, 2011 September 28, 2011
- 16:10
CSA extends exemption to dealers from new relationship disclosure requirements
Both the MFDA and IIROC allow a two-year transition period for firms to get in compliance
- September 28, 2011 September 28, 2011
- 15:17
European regulators extend short selling ban again
Moratoriums extended in Spain and Italy
- By: IE Staff
- September 28, 2011 September 28, 2011
- 15:09
OSC considering fiduciary duty for dealers and advisors
Discussion paper will summarize the fiduciary duty debate at home and abroad and identify the key issues involved
- September 26, 2011 September 26, 2011
- 11:52
Dickson tells banks to prepare for greater supervision
OSFI beefing up oversight in corporate governance, compensation and liquidity
- By: Megan Harman
- September 26, 2011 September 26, 2011
- 10:41
Dealers must adapt to increased oversight and compliance, regulators say
Firms should view compliance as a means to avoid problems, not as a burden
- By: Megan Harman
- September 15, 2011 September 15, 2011
- 14:54
Industry supports advisor incorporation, policymakers say
An annual permit system is the most popular option
- By: James Langton
- August 1, 2011 August 1, 2011
- 09:56
BCSC bans former advisor convicted of fraud
British Columbia Securities Commission panels have reciprocated an enforcement order against a former Investor’s Group advisor convicted by the Provincial Court of British Columbia. Under…
- By: IE Staff
- July 13, 2011 December 14, 2017
- 14:17