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Investment-industry regulator drops plan for minor-offence program Bookmark Please log in to listen to this story. Also available in French and Mandarin. Log In Create Free Account
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The body that regulates investment dealers has abandoned plans for a new disciplinary program for minor offences, after pushback from investor advocates as well as concerns from the industry.
The Investment Industry Regulatory Organization of Canada said Thursday that it was withdrawing a proposal first made in 2018 for a “minor contravention program,” or MCP, in which individual advisers could admit to wrongdoing in matters where investors had not been harmed and pay a standard $5,000 fine, avoiding a full hearing. Advisers who admitted to the minor violation would not have had the infraction placed on their formal disciplinary record, and the public notice of the
An overview of the existing regulatory requirements applicable to CTPs;
Key risks identified by the CSA and IIROC from the operation of CTPs;
Areas where flexibility may be available in how regulatory requirements will be applied to CTPs; and
Compliance steps that a CTP needs to take, including interim steps that may allow a CTP to operate as it prepares to fully integrate into the securities regulatory framework.
Beyond indicating that CTPs operating in Canada are subject to regulation under the current securities regulatory framework, the Staff Notice notes that an existing registered firm that introduces crypto asset products and/or services will be required to report changes in its business activities to its principal regulator, and in the case of investment dealers, to IIROC.
Two additional regulations made under the
United Nations Act implement the UN suppression of terrorism sanctions and sanctions against Taliban, ISIL (Da esh) and Al-Qaida. The Canadian authorities do not maintain a consolidated list of all designations under the
United Nations Act regulations. However, the UN publishes a consolidated list of all designations under the UN Security Council resolutions on its website.
The sanctions imposed under the
United Nations Act regulations vary depending on the target jurisdiction or group and generally include arms embargoes, trade restrictions, and prohibitions against providing financial services or technical assistance in respect of such covered activities. In addition, the
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