Home News From the Regulators

Latest news in From the Regulators

businessman documents smart phone digital tablet graph business diagram

FCA sets out approach to supervision and enforcement

Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity

Toronto bank towers

FCAC says controls to mitigate sales risk at banks “insufficient”

The consumer watchdog reviewed business practices across Canada’s Big Six banks

Senior couple with skis, mountain backgroung

OSC publishes Seniors Strategy

Regulator outlines initiatives to respond to the needs of Ontario seniors and the investment industry

Manitoba Legislative Building in Winnipeg, Manitoba, Canada

Manitoba moves to strengthen IIROC’s ability to collect fines

Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities

  • By: IE Staff
  • March 19, 2018 March 19, 2018
  • 15:45
Queen's Park, Ontario legislature, exterior

Ontario one step closer to regulating financial planners

A new consultation paper invites comments on proposals that would restrict the use of the title “financial planner” to those with the necessary proficiency or…

Judge gavel, scales of justice and law books in court

Burlington, Ont. promoter charged with fraud

The allegations relate to the sale of more than $1 million worth of securities of A4 Diamonds Inc. to Ontario investors

  • March 16, 2018 March 16, 2018
  • 14:00
Stock exchange board with abstract background

CSA mulls pilot study of trading fee rebate payments

The U.S. announced a similar pilot earlier this week

Young female hands tablet with red and blue charts analyze concept calculation

European regulators weigh risks of big data

Legislative intervention at this point would be premature, ESAs conclude

  • March 16, 2018 March 16, 2018
  • 10:15
guidelines and regulations binders

OSC to leave regulatory fees unchanged

Higher revenues and lower cost will produce a surplus for the regulator in fiscal 2018

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

SEC proposes transaction fee pilot program

U.S. securities regulators are planning to test trading fee limits

Gavel and legal books

MFDA calls for nominations to regional councils

The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings

FCA publishes paper on transforming culture in financial services

The industry’s culture is a priority for the U.K. regulator given its impact, and the role that it must play in re-building trust in financial…

High angle view of mallet eyeglasses legal book in courtroom

OSC denies registration to aspiring mutual fund rep

The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail

Scenic mature couple holding hands together and looking abroad during retirement vacation

IOSCO seeks to protect senior investors

Aging investors seen as particularly vulnerable to financial fraud, unsuitable investments and other risks

handshaking and exchanging contract documents

OSC, German regulators sign deal on oversight of central counterparties

The agreement establishes a framework for consultation, co-operation and information-sharing between the OSC, BaFin, and the Bundesbank

Team project work Analyze reports plans, papers, documents, statistics calculations

IIROC proposes changes to debt transaction reporting requirements

The proposals would reduce the reporting deadlines and increase the amount of data that are collected

law regulations paper flat illustration

CSA to step up rules on syndicated mortgages

The aim is to reduce the risks related to these products, which are financing highly speculative projects

Fintech Investment abstract concept with business people on stock market background

European Commission focusing on fintech development

A new action plan introduces new rules to encourage the growth of crowdfunding as well as a host of other measures

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

SEC warns of trading digital assets on unregistered, online platforms

The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not

Stock market quotes

Regulators address extreme market volatility

Extreme volatility can “weaken market integrity and reduce investor confidence,” IOSCO says

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

Three NYSE exchanges reach US$14-million settlement with the SEC

NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations

Closeup of mallet being hit on stacked coins at table in courtroom

B.C. court awards couple $1.7 million in damages against the CRA

The court ordered $750,000 in punitive damages against the tax agency, saying that the charges never should have been brought

Toronto bank towers

Global banks meeting revised Basel III requirements

New review from the Basel Committee on Banking Supervision finds that all banks meet their Tier 1 common equity requirement

Downtown Vancouver, BC with bridge over harbour

A quarter of British Columbians susceptible to investment fraud: BCSC

B.C. women between the ages of 18 and 34 were particularly interested in an investment offer despite it containing basic signs of fraud

Wall street sign in New York with American flags and New York Stock Exchange background.

SEC announces charges in microcap manipulative trading scheme

Some of the manipulative trades were placed with Canadian brokers