Regulation

BoC designates Automated Clearing and Settlement System

May 2, 2016 James Langton

MFDA bans founders of W.H. Stuart permanently

April 29, 2016 James Langton

No consensus on CSA’s best interest proposal

April 29, 2016 James Langton
No consensus on CSA’s best interest proposal

OSFI proposes changes to capital requirements for loans secured by real estate

April 29, 2016 James Langton

Rep cannot seek registration for a year due to lies related to affair

April 29, 2016 James Langton

IIROC fines Calgary advisor $100,000

April 29, 2016 Tessie Sanci

Saleswoman gets jail time for breaching cease trade order, unregistered trading

April 29, 2016 James Langton

IIROC proposes changes to client cash rules

April 28, 2016 James Langton

FINRA issues report cards covering “spoofing” and “layering”

April 28, 2016 James Langton

CSA proposes best interest standard

April 28, 2016 James Langton
FAIR Canada not in favour of regulators’ stance on best interest standard

SEC seeks feedback on plan to create a consolidated audit trail

April 27, 2016 James Langton

MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules

April 27, 2016 James Langton