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OSC settles allegations of trading misconduct

The settlement says a former director violated his firm's insider trading policy

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U.S. regulators halt alleged Ponzi scheme

The scheme raised US$30 million from more than 300 investors in the U.S. and Canada

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Crypto, forex fraud flourishing, FCA reports

U.K. regulator warns of "startling" figures

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IG settles with MFDA over suitability of DSC sales to elderly clients

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules

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IIROC delays debt trade reporting change to 2020

The reduced reporting deadline for debt transactions won't take effect until April

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U.S. derivatives regulator allows ICE speed bump

The CFTC is looking to nullify high-frequency traders' advantage

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IIROC enforcement remains steady, but the SRO is adding muscle

The organization beefed up its authority in five provinces and three territories

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B.C. launches public inquiry into money laundering

The commission will have the power to compel testimony

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OSC drops late filing fees for OBAs

The change will result in more than $700K of savings for registrants

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Market risk remains high, ESMA cautions

Overvalued assets could lead to a correction

FINRA plans digital transformation

The U.S. regulator aims to enhance compliance and cut costs with its new initiative

IAP to focus on advice gap, innovation, investor-friendly reforms

The threat of a shortage of financial advice is cited by industry groups as a reason to avoid tougher investor protection rules

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Updated: OSC approves $1-million settlement with NextBlock

Alex Tapscott also settled with the SEC, paying a $25,000 civil penalty

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SEC approves new long-term exchange

LTSE will focus on listing companies that pursue long-term success rather than short-term results

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CFTC charges managed fund CEO with fraud

Defendant allegedly misappropriated investors' funds

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SEC proposes reforms for oversight of cross-border swaps

Proposed amendments out for comment

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SIFMA white paper calls for cross-border regulatory co-operation

Paper outlines how a new standard of bilateral co-operation could look and operate

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CFTC accuses energy trader of mismarking to hide millions in losses

U.S. derivatives regulator seeks restitution, disgorgement, and monetary penalties

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Toronto advisor fined for making unsuitable recommendations

Rep recommended and implemented extensive margin use for two retired clients

  • May 9, 2019 May 20, 2019
  • 14:00
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CSA proposals aim to give companies faster access to capital

Amendments are aimed at reducing the regulatory burden for issuers that wish to conduct ATM distributions

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OSC to consider settlement with NextBlock, Tapscott

Firm alleged to have misled investors with a slide presentation

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IIROC promises smarter market surveillance

New system to enhance SRO's ability to detect possible market abuse

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How the OSC is approaching regulatory burden

A special advisor to the commission shares how the OSC might shift its approach


CFTC pays whistleblower who tried to warn internally first

The agency has now awarded more than US$85 million to whistleblowers

Stacked white books on rules and regulations

Basel III reform implementation remains a work in progress

The Basel Committee has released its latest status report