Regulation

CIRO taps Fitch Learning for new proficiency model

Firm to help build infrastructure for new exam-based approach to reps’ education

By James Langton |November 8, 2024

2 min read

Regulation

CSA flags AI washing, greenwashing disclosures

Regulators' reviews lead to more enforcement, refiling action

By James Langton |November 7, 2024

2 min read

Regulation

OBSI reform slated for second half of 2025

CSA says next phase of consultation to come next year

By James Langton |November 7, 2024

2 min read

Regulation

Case against Cormark was regulatory overreach: Tribunal

OSC failed to prove any of its allegations against dealer, investment banker

By James Langton |November 7, 2024

4 min read

Regulation

Stress tests prove their worth: BoC research

Policies have affected credit growth, housing prices, delinquencies

By James Langton |November 6, 2024

3 min read

Regulation

Fund rep sanctioned for allowing ‘stealth advising’

Leverage strategy deployed on the down low resulted in hefty financial losses

By James Langton |November 6, 2024

3 min read

Regulation

OSC reviews funds’ risk ratings, ETF regulation

Regulator examines use of discretion in ratings, following OBSI alert

By James Langton |November 6, 2024

2 min read

Regulation

NASAA adds best interest standard to model rule

Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

By James Langton |November 4, 2024

2 min read

Regulation

CIRO proposes overhaul of arbitration program

Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

By James Langton |October 31, 2024

2 min read

Regulation

U.S. senator calls out lack of charges for TD execs in money laundering case

Elizabeth Warren says executives and the bank itself were able to escape the full scope of penalties that Congress could have levied

By The Canadian Press |October 31, 2024

1 min read

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