Home News From the Regulators

Latest news in From the Regulators

Virtual Wallet Smartphone Bitcoins On Printed Circuit Board concept

OSC cease trades USI-Tech

Alleged bitcoin multi-level marketing scheme targets investors

Smartphone with finance and market icons and symbols concept

Fintech raises concerns for regulators

Survey shows millennials at greatest risk for fintech fraud

Business woman showing stock market financial situation

MFDA ramps up enforcement of sales rule

Violations of the rule involve certain incentives programs

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

BCSC consults with fintech stakeholders

Regulator seeks input put on robo-advisors, cryptocurrencies and crowdfunding

Australian Financial Complaints Authority aims to improve redress for consumers

The new service will feature higher monetary limits and compensation caps

  • February 14, 2018 February 14, 2018
  • 14:33
United States Capitol, Washington DC

SEC initiative encourages self-reporting of mutual fund conflicts

To qualify, firms must promptly return money to harmed clients

Financial analysis of charts and graphs on tablet illustration

IOSCO’s fund guidance will benefit asset managers: Moody’s

Firms should benefit once the industry adopts liquidity risk recommendations

Businessman with yellow insurance umbrella looking over city

IOSCO eyes risks of OTC leveraged products

Consultation paper identifies regulatory approaches aimed at enhancing investor protection

Stock exchange board with abstract background

U.K. regulators review algorithmic trading

A new report calls on firms to ensure they are properly managing risks and highlights areas of good and bad practice

guidelines and regulations binders

CCIR developing guidance to enhance consumer protection

The new guidance will align with international standards for insurance regulation

  • By: IE Staff
  • February 12, 2018 February 12, 2018
  • 15:30
Canada Parliament Building and clock tower at night

Feds reviewing AML legislation

Discussion paper contemplates including lawyers in Canada’s AML regime

Abstract bitcoin crypto currency blockchain technology on global world map illustration

European regulators warn of risks in buying cryptocurrencies

Consumers should be aware there is a high risk they will lose a large amount, or even all, of the money invested

BIS, IMF to launch course on banking supervision

The online course will be made available to financial regulators worldwide later this year

FINRA seeks input on “customer recovery”

The U.S. self-regulatory organization is looking to improve arbitration payouts to clients

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

B.C. man and partnership committed fraud: BCSC

Panel finds foreign nine exchange investors were defrauded of $1.4 million

  • By: IE Staff
  • February 9, 2018 February 9, 2018
  • 14:45
law regulations paper flat illustration

CSA affirms disclosure policy for cannabis firms with U.S. ties

Regulators release additional disclosure expectations for companies

Fintech Investment - group of people in meeting with abstract charts and graphs on table

Canadian, French regulators sign fintech agreement

Co-operation deal aims to allow fintech firms to extend their global reach and actively learn from each other

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

CSA seeks Google ban on ads for binary options, cryptocurrencies and ICOs

Since Canada’s binary options ban, fraudsters have increasingly relied on cryptocurrencies and ICOs

Fintech Investment - group of people in meeting with abstract charts and graphs on table

OSC introduces fintech advisory committee members

Members represent a a broad spectrum of the fintech community, from startups to financial institutions

ESMA tackles CCP conflicts of interest

Central counterparties should consider potential conflicts in various relationships

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

SEC announces 2018 compliance exam priorities

The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution

No action needed on Alpha speed bumps: OSC

A report from the regulator echoes the conclusion of a earlier report from IIROC

OSFI extends NSFR implementation timeline

Net Stable Funding Ratio rule pushed to 2020

Virtual Wallet Smartphone Bitcoins On Printed Circuit Board concept

Regulators urged to address risk posed by cryptocurrencies

Extreme price volatility, high transaction costs and a lack of investor protection make cryptocurrencies unsafe

High angle view of mallet eyeglasses legal book in courtroom

BCSC panel fines, bans B.C. woman for fraud

Lynne Rae Nickford ordered to pay $300,000 administrative penalty and disgorgement