Ontario regulator proposes mandatory CE requirements for mortgage brokers
Compliance exams point to a need for ongoing education requirements. FSCO says
- By: James Langton
- December 21, 2010 December 14, 2017
- 12:08
Latest news in From the Regulators
AMF seeks $2.8 million in fines in alleged illegal distributions case
Quebec’s securities regulator has brought charges against six individuals, and is seeking fines of almost $2.8 million, in an alleged illegal distributions case. The Autorité…
- By: James Langton
- December 21, 2010 December 14, 2017
- 09:48
Provinces agree on pooled pensions, but CPP changes will have to wait
Economic recovery is fragile
- By: Lauren Krugel, The Canadian Press
- December 20, 2010 December 14, 2017
- 19:40
Regulators mull options for incorporation of individual sales reps
Consultation paper presents several proposals
- By: James Langton
- December 20, 2010 December 14, 2017
- 16:40
Provinces call for CPP expansion ahead of finance ministers’ meeting
Alberta, Quebec at odds with other provinces
- By: James Keller
- December 19, 2010 December 14, 2017
- 20:30
Quebec sees benefit in multi-employer pension plans
More work needs to be done on enhancing CPP, QPP
- By: IE Staff
- December 19, 2010 December 14, 2017
- 17:08
ASC finds venture capital specialist perpetrated a fraud
Reeves lied to investors and misappropriated their money
- By: IE Staff
- December 19, 2010 December 14, 2017
- 16:55
B.C. fund salesman gets $10,000 fine, six-month suspension
Smiechowski sanctioned for personal financial dealings with a client
- By: IE Staff
- December 19, 2010 December 14, 2017
- 16:42
Seven joining OSC’s Securities Advisory Committee
The Ontario Securities Commission has Friday announced the new members for its Securities Advisory Committee, which consults with the commission on a wide range of…
- By: James Langton
- December 19, 2010 December 14, 2017
- 16:20
OSC sets aside IIROC sanctions against Credifinance
IIROC reasoning deemed “inadequate”
- By: Megan Harman
- December 16, 2010 December 14, 2017
- 16:56
ASC reaches $95,000 settlement in illegal distribution of Reveal.ca securities
Ex CEO Sayler agrees to sanctions
- By: IE Staff
- December 16, 2010 December 14, 2017
- 16:43
IIROC sets date for next test of business continuity plans
Industry test scheduled for September
- By: James Langton
- December 16, 2010 December 14, 2017
- 16:31
Banks have far to go to meet new capital requirements
Basel III framework published
- By: James Langton
- December 16, 2010 December 14, 2017
- 14:46
Ottawa wants more pension options for self employed, small business
Finance ministers to discuss framework next week
- By: Julian Beltrame
- December 16, 2010 December 16, 2010
- 12:58
IIROC proposes new policy for breaking trades
‘Flash crash’ revealed that current rules are not sufficiently clear or transparent
- By: James Langton
- December 16, 2010 December 14, 2017
- 11:54
Naqui mismarked trading positions, concealed losses
- By: James Langton
- December 16, 2010 December 14, 2017
- 11:32
SEC considers disclosure rules for “conflict minerals”
The U.S. Securities and Exchange Commission proposed several rules Wednesday that will ramp up the disclosure obligations on both resource companies and firms that use…
- By: James Langton
- December 16, 2010 December 14, 2017
- 09:02
UK regulator committed to financial advice reform, FSA chief says
The UK’s Financial Services Authority is defending its plans to reform regulation in the retail investment business.In a letter to the chair of the Commons…
- By: James Langton
- December 16, 2010 December 14, 2017
- 08:54
OSC issues update on alleged advance fee scheme
Regulator identifies more firms that appear to be connected Global and Crown
- By: IE Staff
- December 15, 2010 December 14, 2017
- 16:06
BCSC imposes $47 million in penalties for misconduct
Panel says Kim “set out to steal investors’ money”
- By: IE Staff
- December 15, 2010 December 14, 2017
- 15:43
Regulators reject Alpha’s planned order
Revised proposal published for comment
- By: James Langton
- December 15, 2010 December 14, 2017
- 12:30
OSFI issues advisory on seg fund guarantee capital requirements
Revised criteria better capture risks in current universe of seg funds
- By: James Langton
- December 14, 2010 December 14, 2017
- 16:51
AMF seeking $810,000 fine, prison term against Montreal man
Regulator wants fine to serve as a deterrent
- December 14, 2010 December 14, 2017
- 14:41
Firms must improve disclosure of going concern risks: OSC
Review finds incomplete disclosure to investors
- By: IE Staff
- December 14, 2010 December 14, 2017
- 11:28
MFDA fines ex Peak fund salesman $120,000
Burner failed to reimburse clients for DSCs on fund trades
- By: Megan Harman
- December 14, 2010 December 14, 2017
- 07:24