Regulatory

CCIR requests comment on seg fund issues paper

The Canadian Council of Insurance Regulators has published two papers for public consultation, one of which is its Segregated Funds Issues Paper.

By Staff |May 16, 2016

1 min read

MFDA fines rep $10,000 over pre-signed forms

A settlement hearing in the matter of Brian Blundell was held on May 12, 2016 in Vancouver, British Columbia before a three-member hearing panel of the Pacific Regional Council of the MFDA.

By Staff |May 16, 2016

1 min read

OSC publishes amendments to OTC derivatives trade reporting rule

The amendments will increase transparency in the Canadian over-the-counter (OTC) derivatives market through public dissemination of transaction-level data and provide exclusions from the reporting requirement for certain OTC derivatives transactions between affiliates.

By Staff |May 12, 2016

2 min read

SEC charges advisor who allegedly defrauded pro athletes

The SEC has announced fraud charges against a financial adviser who SEC has accused of taking money without permission from the accounts of several professional athletes.

By Staff |May 9, 2016

2 min read