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NASAA elects millennial president

Vermont’s Michael Pieciak succeeds Joseph Borg

  • September 26, 2018 September 26, 2018
  • 17:15
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OSC seeks permanent ban against former advisor sentenced for fraud

Daniel Reeve was found guilty of defrauding victims of $10 million through several Ponzi schemes

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ASC reveals policy conference agenda, speakers

The second-annual ASC Connect conference will take place Oct. 9

female polar bear and cub on polar ice

Momentum building for climate-related financial disclosures

Task Force publishes first status report

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OSC calls for applications to Investor Advisor Panel

Members will be selected to represent a broad range of relevant experience, skills, knowledge and perspectives

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IIROC announces board members for 2018-2019

Paul Allison of Raymond James elected chairman

  • By: IE Staff
  • September 26, 2018 September 26, 2018
  • 11:00

SEC awards almost US$4 million to overseas whistleblower

The anonymous tipster furnished extensive assistance which helped the U.S. regulator bring a successful enforcement action in the case

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IIROC fines CIBCWM and B.C. branch manager for failing to supervise advisor

The advisor later admitted to making unsuitable recommendations to clients

Australia cracks down on initial coin offerings

ASIC has prevented five proposed ICOs from raising capital without appropriate investor protections

BCSC to extend use of electronic filing

Amendments would require investment funds to file annual reports electronically

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IOSCO issues policy measures to protect investors of OTC leveraged products

Report covers the marketing and sale of rolling-spot forex contracts, contracts for differences and binary options

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OSFI publishes revised corporate governance guidance

Document sets out expectations for boards of directors of federally regulated financial institutions

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NASAA warns investors to watch for scams in Florence’s wake

Scam artists may linger long after the storm has passed

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IOSCO guidance addresses conflicts of interest in equity capital raising

Report details key stages of capital raising where the role of intermediaries might give rise to conflicts of interest

British Columbia provincial parliament building, Victoria, BC

B.C. to restructure Financial Institutions Commission

Making FICOM a Crown agency is intended to strengthen oversight of the financial services sector

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CSA names new secretary general

Laura Belloni succeeds Kim Lachapelle

  • September 17, 2018 September 18, 2018
  • 12:08

OSFI proposes new guideline for insurers’ asset securitization

The proposed amendments are designed to reflect market developments since 2004

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IFIC proposes four titles for advisors

The mutual fund industry trade group support’s the CSA’s proposed ban on titles that are based on sales activity

Businessman analysis the stockmarket on labtop Stock Market Investment Online

CSA signs deal for new market surveillance system

The new platform, which the CSA says will replace its current system, “will capture a broad array of market and transaction data to improve insight…

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Ontario pushes back on CSA’s proposed DSC ban

The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday

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OSC announces seniors expert advisory committee membership

New members include experts in aging and health, investor advocates and industry personnel

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OSC announces speakers for Dialogue 2018

Global regulators and industry executives will address opportunities and challenges in capital markets

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FINRA report identifies benefits and risks of regtech

Technology may make it easier for securities firms to strengthen their compliance programs

Businessman analysis the stockmarket on labtop Stock Market Investment Online

OSC seeks comment on Nasdaq Canada proposed fee change

The proposed changes aim boost trading volume and enhance market quality

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CSA proposes rule regarding non-GAAP and other financial measures

Proposal would give regulators a stronger tool to take appropriate action against companies misleading investors