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IIROC proposes two new enforcement programs

The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases

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U.K. launches cryptocurrency and blockchain inquiry

Treasury Committee to examine risks and opportunities for financial institutitions and consumers

United States Capitol, Washington DC

SEC adopts guidance on cybersecurity disclosure

The goal is to promote clearer and more robust disclosure by companies about cybersecurity risks and incidents

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IOSCO proposes guidance on conflicts of interest

Conflicts during the capital raising process can damage investor confidence

  • February 21, 2018 February 21, 2018
  • 12:00

FCA mulls using technology to achieve smarter regulatory reporting

Consultation paper seeks input on making reporting requirements machine-readable and executable

Australian banks pay additional compensation to clients

More than 3,000 customers have received compensation for losses as a result of non-compliant conduct by advisors

U.K., U.S. regulators sign collaboration agreement

The FCA and the CFTC commit to supporting innovative firms through each other’s fintech initiatives

  • February 20, 2018 February 20, 2018
  • 13:30
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OSC invites Rezwealth fraud victims to apply for compensation

$70,000 has been seized in the case involving Rezwealth Financial Services Inc. and several other firms and individuals

  • February 20, 2018 February 20, 2018
  • 10:30
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OSC cease trades USI-Tech

Alleged bitcoin multi-level marketing scheme targets investors

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Fintech raises concerns for regulators

Survey shows millennials at greatest risk for fintech fraud

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MFDA ramps up enforcement of sales rule

Violations of the rule involve certain incentives programs

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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

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

Firms should benefit once the industry adopts liquidity risk recommendations

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IOSCO eyes risks of OTC leveraged products

Consultation paper identifies regulatory approaches aimed at enhancing investor protection

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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

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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
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Feds reviewing AML legislation

Discussion paper contemplates including lawyers in Canada’s AML regime

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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

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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
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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