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IIROC schedules business continuity test for October

Planned BCP test to coincide with test in the U.S.

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CSA to study impact of trading fees, rebates

Proposed pilot would examine the effects of a prohibition of rebate payments by Canadian marketplaces

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Raymond James fined $125,000 for overcharging clients

More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been

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IIAC calls for greater transparency on market data fees

Request follows recent a SEC decision which found that exchanges did not provide sufficient justification for their marketplace fees

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OSC names new registrant advisory committee members

The RAC serves as a forum to discuss compliance and registration issues

Manitoba Legislative Building in Winnipeg, Manitoba, Canada

David Cheop named CEO of the Manitoba Securities Commission

Cheop was deputy director and secretary of the commission from 1986 to 1998

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IFIC offers alternative to the CSA’s proposed ban on DSC mutual funds

PMAC wants CSA to leave pooled funds out of client-focused reforms

  • By: IE Staff
  • December 14, 2018 February 15, 2019
  • 16:00

OSFI proposes reforms to large exposure risk management for banks

Reforms would limit banks’ exposures to a single counterparty, or closely connected groups of firms

IIROC consults on proposed changes to trading rules

Proposals aim to address concerns that too many small orders are being traded in the dark without price improvement

CFTC seeks input on cryptocurrency Ether

The U.S. regulator wants to understand the similarities and differences between Ether and Bitcoin

Office buildings in Toronto’s financial district

OSFI raises domestic stability buffer for banks to 1.75%

Banks should be setting aside capital so that they can weather a deterioration in economic conditions

Basel Committee publishes updated Basel III bank disclosure requirements

Revised Pillar 3 framework aims to promote discipline on bank management by bolstering disclosure to investors

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FINRA compliance report focuses on suitability

Inadequate due diligence on products a “common contributor” to suitability failings

Banks substantially more resilient

FSB group for the Americas concludes meeting in the Cayman Islands

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PEI strengthens investor protection with passage of Bill 47

Fourth province gives full enforcement toolkit to IIROC

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FCA proposes crackdown on binary options, CFDs

Proposed rules aim to address the risks to retail investors from trading in complex derivative products

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BCSC raising securities market fees

Higher fees secure funding needed for effective market oversight and investor protection, commission says

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Alberta appeal court dismisses appeal on finding of illegal trading

Court reduces sanctions imposed by ASC panel

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OSC seeks applications for fintech advisor committee

FAC advises OSC LaunchPad staff on fintech developments and challenges faced by start-ups

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IIROC suspends and fines Calgary advisor

Richardson GMP advisor recommended an increasingly high-risk investment strategy

  • By: IE Staff
  • December 6, 2018 February 15, 2019
  • 10:30
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OSC seeks to permanently ban convicted fraudster

Michelle Dunk has breached previous bans

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Report reveals range of cybersecurity practices in the banking sector

Information sharing by banks and regulators varies widely across jurisdictions

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IIAC seeks relief from “unintended consequences” of U.S. tax rule changes

Canadian firms could face onerous withholding and backup reporting requirements

Quebec National Assembly exterior

CLHIA urges Quebec to ban speculative trading in life insurance

Seniors are an ideal target for groups specialized in life settlements

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Canada, U.S. and Mexico establish financial regulatory forum

The new group will examine cross-border regulatory issues in the financial sector