All Canada articles – Page 3
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Blog
Marimaca Copper appoints general counsel
Canadian copper company Marimaca Copper Corp. welcomed Solange González as general counsel and corporate secretary.
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Blog
EnGene Holdings announces legal chief
EnGene Holdings, a clinical-stage genetic medicines company, announced the appointment of Lee Giguere as chief legal officer and corporate secretary.
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Blog
Royal Bank of Canada names ex-Wells Fargo risk chief to board
Royal Bank of Canada announced Amanda Norton, former Wells Fargo executive vice president and chief risk officer, was appointed to its board of directors.
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News BriefTD Bank reportedly facing fine for faulty AML controls
The Financial Transactions and Reports Analysis Centre of Canada is reportedly preparing to issue its largest fine to date against TD Bank for faulty anti-money laundering controls.
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Blog
Northland Power promotes legal chief
Canada-based Northland Power announced Yonni Fushman, chief legal officer and executive vice president of sustainability, was promoted to chief administrative and legal officer.
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News BriefReport: Canada’s FINTRAC to increase reliance on AI
Canada’s financial intelligence agency aims to increase its use of artificial intelligence technology to improve its capabilities to analyze data and detect suspicious activity, according to an agency official.
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PremiumEthical compliance for facial recognition technology
The lack of clear regulations and guidelines for the ethical use of facial recognition technology further exacerbates concerns of discriminatory practices and potential infringements on human rights.
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News BriefFINTRAC fines CIBC $950K over AML lapses
The Canadian Imperial Bank of Commerce received the second penalty for alleged deficiencies regarding suspicious transaction reporting announced this week by Canada’s financial intelligence agency.
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Blog
Great Gulf Group hires chief legal officer
Real estate company Great Gulf Group hired Corinne Pruzanski as chief legal officer.
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News BriefCanada’s AML agency fines RBC $5.5M over suspicious transaction reports
Royal Bank of Canada was assessed an administrative penalty of nearly 7.5 million Canadian dollars (then-U.S. $5.5 million) in November by the country’s financial intelligence agency for alleged deficiencies in its suspicious transaction reporting mechanisms.
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Blog
AIMCo announces chief legal officer
The Alberta Investment Management Corp. announced the appointment of Shelley Nixon as chief legal officer.
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Blog
KWESST names corporate controller as chief compliance officer
Technology company KWESST Micro Systems appointed its Corporate Controller Kris Denis as chief compliance officer.
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News BriefTD Bank unit fined $600K by FINRA over email review lapses
TD Private Client Wealth agreed to pay a $600,000 penalty levied by the Financial Industry Regulatory Authority for allegedly failing to review millions of employee emails as required by the self-regulatory organization’s rules.
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News BriefSEC, Canadian regs fine RBC $6M for accounting failures
Royal Bank of Canada will pay $6 million in total penalties to settle charges from the Securities and Exchange Commission and two Canadian regulators that it failed to properly record software development costs for more than a decade.
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Blog
Equitable Bank appoints chief risk officer
Equitable Bank announced the appointment of Marlene Lenarduzzi as chief risk officer.
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Blog
TradeZero Canada Securities gets new CCO
TradeZero Holding Corp., which provides online trading platforms for retail traders, announced Leo Ciccone as chief compliance officer of TradeZero Canada Securities.
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Blog
Scotiabank promotes CRO to group head and chief risk officer
Scotiabank announced the promotion of Chief Risk Officer Phil Thomas to group head and chief risk officer.
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News BriefTD Bank expecting punishment in BSA/AML probes
TD Bank disclosed in a shareholder report it is facing regulatory investigations regarding its Bank Secrecy Act/anti-money laundering compliance program.
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Blog
Versapay appoints general counsel
Financial technology company Versapay announced the appointment of Spencer Robinson as general counsel.
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News BriefWells Fargo fined $200M in latest SEC, CFTC off-channel comms sweep
The Securities and Exchange Commission and Commodity Futures Trading Commission continued their crackdown on financial firms’ recordkeeping failures regarding employee use of off-channel communications with $555 million in total fines levied against nine institutions and their affiliates.