Regulation

OSC names inaugural members to Fintech Advisory Committee

January 26, 2017 James Langton
Rise of fintech includes many future risks, FSB says

Canadian sentenced to jailed in the U.S. for role in fraud scheme

January 25, 2017 James Langton

New MFDA paper provides guidance on suitability

January 25, 2017 James Langton

Australian regulators seek to streamline market integrity rules

January 24, 2017 James Langton

B.C. life insurance agent suspended for five years

January 23, 2017 James Langton

SEC awards three whistleblowers US$7 million

January 23, 2017 James Langton

Investors have much to learn about investment fees, BCSC study finds

January 23, 2017 James Langton
IAP calls on regulators to eliminate embedded compensation

Advisors’ training for risk assessments should be boosted, IAP recommends

January 23, 2017 James Langton
Risks faced by retired clients

DoJ reaches US$50-million settlement with Société Générale

January 20, 2017 James Langton

IE’s Regulatory Reporter, January 2017

January 20, 2017 IE Staff
IE’s Regulatory Reporter: April 2017

IIROC suspends All Group Financial Services

January 19, 2017 James Langton

Issuers must do a better job of reporting cybersecurity information

January 19, 2017 James Langton
Financial firms face significant risk from cyberattacks