Regulation

Conflict of interest leads to $20,000 fine, suspension from MFDA

A hearing panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada has issued its Reasons for Decision in connection with a disciplinary hearing held in Calgary, Alberta on October 26, 2016 in the matter of Sharon June Fauth.

By Staff |January 25, 2017

2 min read

MFDA issues several fines and sanctions

The MFDA has issued several Reasons for Decisions documents.

By Staff |January 24, 2017

2 min read

OBSI to explore naming and shaming alternatives

Canada's Ombudsman for Banking Services and Investments (OBSI) has published its strategic plan.

By Staff |January 20, 2017

2 min read

61% of S&P/TSX firms call cybersecurity a material risk

Staff from the British Columbia Securities Commission, the Ontario Securities Commission and the Autorité des marchés financiers have published Multilateral Staff Notice 51-347 Disclosure of Cybersecurity Risks and Incidents. The notice reports the findings of a review announced by the Canadian Securities Administrators (CSA) in Staff Notice 11-332 Cybersecurity (Staff Notice 11-332) and provides disclosure […]

By Staff |January 19, 2017

1 min read