Regulation

ESMA aims to increase financial product governance obligations

June 2, 2017 James Langton

IIROC, LICS deal aims to prevent rogue reps from moving between sectors

June 2, 2017 James Langton

No sanctions for 43 of 45 Home Capital brokers and agents, FSCO says

June 1, 2017 Alexandra Posadzki, David Hodges

IIROC to prioritize compensation-related conflicts in the year ahead

June 1, 2017 James Langton

ESMA sanctions Moody’s divisions

June 1, 2017 James Langton
Special Reports

FSCO reports decrease in insurance advisors’ compliance rates

May 31, 2017 Megan Harman

ESAs consult on money laundering and terrorist financing risk management standards

May 31, 2017 James Langton

OSC seeks new members for investment funds advisory committee

May 31, 2017 James Langton

AMF to focus on OTC derivatives market and insurance compensation

May 31, 2017 James Langton

Adoption of big regulatory changes must avoid unintentional harm

May 31, 2017 Patricia Chisholm
Adoption of big regulatory changes must avoid unintentional harm

OSC hearing panel dismisses Krishna Sammy’s appeal against IIROC

May 30, 2017 James Langton

Broker, agent who worked with subsidiary of Home Capital disciplined

May 29, 2017 The Canadian Press