Regulation

Fee disclosure cases account for jump in SEC enforcement Fallback Image Decorative pattern

Industry

Fee disclosure cases account for jump in SEC enforcement

SEC also enjoyed a record level of co-operation in its enforcement efforts

By James Langton |November 20, 2019

2 min read

Advisor who acted without registration banned for 10 years Fallback Image Decorative pattern

Industry

Advisor who acted without registration banned for 10 years

The ASC said the advisor continued serving clients after her registration had been suspended

By Staff |November 19, 2019

1 min read

IIAC concerned about communication between ombudservice, regulator IIAC concerned about communication between ombudservice, regulator

Industry

IIAC concerned about communication between ombudservice, regulator

Proposed rules may put OBSI in a position where it's viewed as having a regulatory function, a letter warns

By James Langton |November 15, 2019

2 min read

OSFI rejects proposed global capital standard for insurers OSFI rejects proposed global capital standard for insurers

Industry

OSFI rejects proposed global capital standard for insurers

Canadian insurers will continue to be subject to existing capital rules

By James Langton |November 14, 2019

2 min read

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