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Equities drive Q1 gains for Canadian DB pensions: Northern Trust

Concerns about Alpha speed bump unfounded: report

The report examines segmentation, market quality measures, and differences in routing behaviour around the TSX Alpha Exchange redesign

FINRA releases 2018 regulatory and exam priorities

Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation

  • January 8, 2018 January 8, 2018
  • 15:30

Court dismisses appeal of OSC securities fraud decision

The founders of North American Financial Group and North American Capital argued that a hearing panel’s and findings and penalty decision were unreasonable

U.S. regulators propose new risk management guidance for banks

U.S. regulators propose new risk management guidance for banks

FPSC, IQPF issue updated guidelines for financial planners

OSC approves Nasdaq Canada to operate as an exchange

Recognition will take effect March 1

NASAA advises caution on cryptocurrency investments

A survey of securities regulators has found that 94% believe that there is a high risk of fraud involving cryptocurrencies

NASAA tool helps investors select an advisor

Online tool includes a sample script to help start a conversation with a financial advisor

Enforcement fines increased three-fold in 2017

Global regulators are focused on changing behaviours and non-financial sanctions are on the rise

FSB publishes implementation plan for UTIs

Unique transaction identifiers would be introduced no later than the end of 2020

October GDP flat compared with September

Compared with October 2016, Canada’s gross domestic product was up 3.4% overall

BMO GAM’s Ross Kappele elected IFIC chairman

MFDA, rep appeal disciplinary decision

OSC to hear both sides in case of advisor who accepted loan from clients

Compliance Calendar for Advisors 2017

Regulatory deadlines and updates for financial professionals. New this update: proposed IIROC fee reforms and much more

  • By: IE Staff
  • December 22, 2017 January 15, 2018
  • 14:00

FINRA cautions investors on cryptocurrency scams

An investor alert warns against buying the stock of companies that tout the prospect of high returns from their cryptocurrency activities

OSC charges Toronto businessman with fraudulent sale of securities

The allegations relate to the fraudulent sale of hundreds of millions of dollars of securities in two companies, O24 Pharma PLC and Canadian National TV…

MFDA bans former rep for recommending unsuitable strategy

MFDA fines Sun Life dealer $1.7 million for compliance failings

The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk

Canada and France to co-operate on fintech innovation

Agreement aims to facilitate company referrals

IIROC reaches settlement with three former All Group reps

OSC approves Assante no-contest settlement

Two Assante dealers to pay regulator and reimburse clients for alleged overcharging

IAP calls on regulators to eliminate embedded compensation

IIROC proposes fee reforms

The current approach to calculating a minimum fee is unnecessarily complex

MFDA panel reserves decision regarding Sun Life dealer

In the event the panel accepts the settlement, it will provide written reasons for its decision

  • By: IE Staff
  • December 20, 2017 December 20, 2017
  • 17:30

ASC suspends Privest Wealth Management

Exempt market dealer unable to fix compliance issues

AMF to increase regulatory fees

Fees payable under securities, derivatives and insurance legislation will be increasing by 0.82% while increases in certain other fees are linked to inflation

Lifecos have work to do on their websites, Forrester’s study finds

European regulators issue new guidance on cloud computing

The guidance tackles key aspects of outsourcing to the cloud, including data and systems security, the location of data and data processing, access and audit…

OECD raises Canada’s economic growth outlook to 2.4% for 2017

Basel Committee reports challenges with stress testing

Consultation paper proposing updates to Basel Committee's stress testing principles to incorporate changes in stress testing practices that have occurred in recent years

MFDA bans former rep for recommending unsuitable strategy

IIROC bans former rep

The Thunder Bay, Ont., advisor raised more than $500,000 from clients off-book

MFDA to consider proposed settlement with Sun Life dealer

The settlement aims to resolve a series of alleged supervisory shortcomings.