Keyword: Regulation

581 results found

The new executive director spent almost 20 years at Ontario's securities regulator

  • By: Staff
  • August 24, 2020 August 24, 2020
  • 11:43

The bank reached a US$122-million settlement with the U.S. Consumer Financial Protection Bureau

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

The amendments are aimed at reducing regulatory burden without comprising investor protection

  • By: Staff
  • August 20, 2020 August 20, 2020
  • 13:39

Regulator proposes minimum standards for advisor, planner titles

The regulator cited concerns about possible client over-concentration

House bubble

The changes will take effect March 1, 2021

Ontario Queen's Park Legislative Building

But there are still those who defend DSC mutual funds

Sir Oliver Mowat statue at the Ontario Legislative Building in Toronto

Group also proposes a single self-regulatory organization

Portrait of confused businessperson thinking of innovative idea at grey wall.

Morningstar says regulators have a role to play in standardizing data, terminology and disclosure

court gavel regulatory

A higher collection rate last year means more money for harmed investors, the regulator says