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Fraudsters impersonating SEC employees, regulator warns

Audio recording tells investors what fraud sounds like

guidelines and regulations binders

FSCO launches consultation on fairness guideline

Treating consumers fairly means putting the interests of consumers first, Ontario regulator says

OSC draft stament of priorities cover

OSC outlines key priorities

Regulator pledges to publish rule proposals for the introduction of a best interest standard in the coming year

CSA announces new prospectus exemption

The exemption is intended to provide Canadian investors with greater certainty regarding their ability to resell their securities of foreign issuers

  • March 29, 2018 March 29, 2018
  • 14:20
female hands sending email

MFDA cautions dealers on email use

Mutual fund dealers and reps use should use more secure forms of electronic communication

Young female hands tablet with red and blue charts analyze concept calculation

Report urges regulators to embrace big data

Machine learning could help regulators improve oversight

Harvested wheat on farm field with hay bale in Saskatchewan, Canada

Saskatchewan regulator cease trades binary options firm

Trade12 has solicited investors in the province by phone inviting them to open trading accounts, the FCAA says

Block letters spelling fraud, with magnifying glass

Ontario budget 2018: New Serious Fraud Office among regulatory proposals

Government plans to make it easier for clients to receive restitution, sharpen OSC’s enforcement teeth

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FCNB suspends two real estate salespeople

The pair took “extreme financial advantage” of a vulnerable senior

xhausted businessman dragging heavy chains

Projects aim to reduce regulatory burden for public companies

The policy projects stem from a consultation carried out by the CSA last year

EU flags waving in front of European Parliament building. Brussels, Belgium

ESMA to ban binary options, restrict CFDs

The European regulator’s measures aim to protect retail investors

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MFDA seeks comments on proposed CE amendments

Mutual fund advisors would have to complete 20 professional development credits each cycle

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IIROC plans changes to rules on cybersecurity

While IIROC works on amendments, it asks dealers to voluntarily report cybersecurity incidents

  • March 26, 2018 March 26, 2018
  • 11:15
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Policymakers urged to work toward global policies on cryptocurrencies

Such a strategy would need to cover risks in both cash and derivatives products, BoC deputy governor says

guidelines and regulations binders

CDPSF offers new governance and compliance training course

The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance

  • By: IE Staff
  • March 22, 2018 March 22, 2018
  • 10:50
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FCA sets out approach to supervision and enforcement

Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity

  • By: IE Staff
  • March 21, 2018 March 21, 2018
  • 13:00
Toronto bank towers

FCAC says controls to mitigate sales risk at banks “insufficient”

The consumer watchdog reviewed business practices across Canada’s Big Six banks

Senior couple with skis, mountain backgroung

OSC publishes Seniors Strategy

Regulator outlines initiatives to respond to the needs of Ontario seniors and the investment industry

Manitoba Legislative Building in Winnipeg, Manitoba, Canada

Manitoba moves to strengthen IIROC’s ability to collect fines

Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities

  • By: IE Staff
  • March 19, 2018 March 19, 2018
  • 15:45
Queen's Park, Ontario legislature, exterior

Ontario one step closer to regulating financial planners

A new consultation paper invites comments on proposals that would restrict the use of the title “financial planner” to those with the necessary proficiency or…

Judge gavel, scales of justice and law books in court

Burlington, Ont. promoter charged with fraud

The allegations relate to the sale of more than $1 million worth of securities of A4 Diamonds Inc. to Ontario investors

  • March 16, 2018 March 16, 2018
  • 14:00
Stock exchange board with abstract background

CSA mulls pilot study of trading fee rebate payments

The U.S. announced a similar pilot earlier this week

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European regulators weigh risks of big data

Legislative intervention at this point would be premature, ESAs conclude

  • March 16, 2018 March 16, 2018
  • 10:15
guidelines and regulations binders

OSC to leave regulatory fees unchanged

Higher revenues and lower cost will produce a surplus for the regulator in fiscal 2018

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SEC proposes transaction fee pilot program

U.S. securities regulators are planning to test trading fee limits