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Keyword: Regulation

1015 results found
illustration of a man lock up in prison

He hoped to secure a job at KPMG. What he got was a nine-month prison sentence

  • By: Staff
  • October 11, 2019 October 11, 2019
  • 15:35
pension pension or retirement concept with word on business office folder index

A C.D. Howe report recommends that financing standards should be principles-based

stack of documents or files, overload of paperwork on black background

The regulator will be looking at cybersecurity and protection for seniors

  • By: Staff
  • September 25, 2019 September 25, 2019
  • 17:14
confusing array of advisor titles

Quebec regulates “financial planner” and prohibits “financial advisor.” Ontario will regulate both.

Files being analyzed

Legislation affects disclosures on trusts, real estate and corporations

Files being analyzed

The proposals affect disclosure requirements and facilitate online compliance

stack of documents or files, overload of paperwork on black background

The proposals are out for comment until Dec. 4

  • By: Staff
  • September 5, 2019 September 5, 2019
  • 14:28
Small white piggy bank sitting on a layer of Canadian twenties bills with a dollar coin (loonie) dropping inside.

The guidance augments FINTRAC's penalty policy

  • By: Staff
  • August 29, 2019 August 29, 2019
  • 16:53
Wooden gavel used by a judge or auctioneer

IIROC staff sought the firm's suspension after it fell into capital deficiency in August

  • By: Staff
  • August 16, 2019 August 16, 2019
  • 14:25
Wooden gavel used by a judge or auctioneer

Firms engaged in excessive promotional activities and provided reps with too much in non-monetary incentives