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IIROC sanctions futures firm for supervisory failures

Firm agreed to $100,000 sanction, admitted oversight violations

CSF launches continuing education portal for advisors

The Quebec self-regulatory organization will make the portal available in January

Bridging hearing slated for second half of 2023

Motion to stay case alleging abuse of process to be heard in May

parliament hill

Covid benefits helped economy rebound, but post-payment verification lacking: AG

The report said $4.6 billion went to ineligible people and another $27.4 billion should be investigated

IIROC seeking feedback on arbitration program overhaul

Proposals include increasing the limit on claims and publishing arbitration decisions

BCSC bans fraudsters, orders $1.5M in sanctions

The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme

SEC warns firms of identity theft risks

Weaknesses in firms' practices uncovered in compliance exams

New SRO should oversee Quebec’s fund dealers: IIAC

Trade group calls on provincial finance minister to review fund dealer oversight

Green forest

IOSCO task force to tackle transition to net zero

Sustainable Finance Task Force ready to rule on ISSB disclosure standards, carbon markets

A river overflows its banks in Northern Nova Scotia

Fed tackles banks’ climate-related risks

Agency issues proposed principles for large banks to address climate risks

Retro woman wearing hat and smoking cigarette. 1930s classic portrait.

ASIC sanctions Vanguard for alleged greenwashing

Underlying index failed to screen out tobacco sellers, regulator charged

Queen's park, Ontario

Ontario appoints Kevan Cowan as new OSC chair

Cowan replaces Heather Zordel, who resigned last month

  • By: IE Staff
  • November 30, 2022 November 30, 2022
  • 17:13

Insurance regulators release guidance targeting unfair incentives

The regulators concluded that some incentive practices may present risks to the fair treatment of customers

  • By: IE Staff
  • November 30, 2022 November 30, 2022
  • 16:04
investing with a smart phone

The post-pandemic investor protection challenge

IOSCO report recommends practices for investor protection and education during a crisis

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

FCA sanctions Swiss firm over corrupt dealings

Julius Baer was fined £18 million for suspect dealings with a Yukos employee

MX disciplines HSBC over electronic access

Firm sanctioned over unapproved access to exchange's systems

Cyber resilience in doubt, IOSCO finds

Review finds weaknesses in tech recovery, testing at financial infrastructures

European Union headquarters

Europe’s inflation likely hasn’t peaked, ECB’s Lagarde says

Inflation hit 10.6% in October

Business lawyer team. Working together of lawyer in the meeting.

Tribunal rejects bid to make Bridging evidence confidential

Lack of jurisdiction and evidence of harm underlie the decision not to intervene

Businessman Blowing Whistle Isolated on White Background

Involved in misconduct, but still a whistleblower

Tipster gets US$20 million despite involvement and delay in reporting

FSRA proposes DSC ban for seg funds

Proposal would eliminate regulatory arbitrage between seg funds and mutual funds

Wealthsimple Advisor settles client privacy case with MFDA

Regulators alleged the firm's onboarding process for new reps was deficient

Modern office building close up in sunlight

Regulators see threat to stability in shadow banks’ growth

Ties to banks and weak risk management raise concern for Basel Committee

House placed on coins Men's hand is planning savings money of coins to buy a home concept concept for property ladder, mortgage and real estate investment. for saving or investment for a house,

Global housing price growth slows: BIS

Despite the recent slowdown, prices are higher than pre-pandemic levels

merger

New SRO gets formal approval from CSA

Provincial regulators finalized recognition orders and interim rules