Home regulation

Keyword: regulation

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

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

Advocis takes stand against new Saskatchewan tax on life insurance

The association’s response to the CCIR’s strategic plan recommends that regulators implement a mandatory rule for advisors to conduct a needs analysis for all clients

The initiative would provide investor protections but existing restrictions on controlling shareholders and related parties would not apply to a sovereign shareholder

Principles are aimed at consistency for firms leaving the U.K.

Canadian insurance regulators focus on three key priorities

The regulator’s final statement of priorities, published on Thursday, also includes a commitment to deal with embedded commissions

FINRA seniors’ hotline leads to US$4.3 million in reimbursements

The helpline has also led to almost 650 issues being referred to other regulators, the U.S. SRO reports

Advocis encouraging advisors, clients to oppose commissions ban

The committee will provide the regulator with feedback on emerging issues and the regulatory framework for investment products

The guidelines have also been revised to include sections relating to systemic supervisory failures, borrowing and lending arrangements and short interest reporting

A new report states that IIROC has observed “a dramatic decrease in the number of applicants and [reps] with solvency and integrity issues”

Reckless use of social media harming investors: CSA

Investors may have suffered as a result of major stock price moves caused by early, selective, or misleading disclosure made on social media