Court denies appeal in client overcharging case
A former TD Bank compliance officer's unusual legal action has been rejected again
Latest news in From the Regulators
Misleading news releases about pot sector draw regulator’s ire
Ex-CEO sanctioned for trading after issuing misleading press releases
- By: James Langton
- January 22, 2021 January 22, 2021
- 16:11
Don’t sacrifice investor protection in a bid for growth, Biden warned
Advocates, academics and regulators advise against expanding private market access
- By: James Langton
- January 22, 2021 January 22, 2021
- 14:43
FCA seeks cap on some investor redress fees
The proposal would impact claims management companies, which act as intermediaries
- By: James Langton
- January 21, 2021 January 21, 2021
- 15:55
Pandemic at top of global regulators’ agenda
Covid-19 management joins LIBOR, shadow banking and climate change on the FSB's list for 2021
- By: James Langton
- January 20, 2021 January 20, 2021
- 15:13
FCA tackles flurry of investment scams
Regulator sees spike in illicit activity during pandemic-racked 2020
- By: James Langton
- January 18, 2021 January 18, 2021
- 16:06
Court orders trial to assess whether investor was misled
Investor's sophistication at issue in unregistered trading scheme
- By: James Langton
- January 18, 2021 January 18, 2021
- 15:50
Biden picks Chopra, Gensler for financial oversight roles
The choice for SEC chair signals a more activist role after a deregulatory stretch during the Trump administration
- By: Associated Press
- January 18, 2021 January 18, 2021
- 14:53
Former Wells Fargo exec sanctioned
OCC penalizes ex-general counsel in sales practices scandal
- By: James Langton
- January 15, 2021 January 15, 2021
- 13:23
B.C. court approves class action settlement
Deal includes $2.4 million and cooperation with ongoing litigation
- By: James Langton
- January 15, 2021 January 15, 2021
- 13:05
IIROC drops rule proposals for identifying non-client accounts
Reforms developed for industry were rejected in a public consultation
- By: James Langton
- January 14, 2021 January 14, 2021
- 15:34
AMF sanctions Desjardins over fund sales practices
The regulator found the firm's compensation structure favoured in-house funds
- By: James Langton
- January 13, 2021 January 13, 2021
- 09:06
No dividend hikes, share buybacks for banks and insurers until lockdowns end: OSFI
Executive pay raises also remain on hold for now
- By: Canadian Press
- January 11, 2021 January 11, 2021
- 14:20
FCA warns on promise of crypto riches
New registration requirements for U.K. crypto firms took effect Jan. 10
- By: James Langton
- January 11, 2021 January 11, 2021
- 13:01
OSFI embarks on climate risk consultation
Regulator ponders action to bolster industry's readiness to face warming world
- By: James Langton
- January 11, 2021 January 11, 2021
- 12:20
Deutsche Bank pays US$130M to settle U.S. charges
The DoJ and SEC settle with the bank for violations arising from separate bribery, fraud schemes
- By: James Langton
- January 8, 2021 January 8, 2021
- 16:57
MX extends pandemic relief to summer
Firms can continue to use alternative compliance approaches
- By: James Langton
- January 8, 2021 January 8, 2021
- 14:48
OSC names new RAC members
Committee provides regulator with feedback on compliance, policy issues
- By: James Langton
- January 8, 2021 January 8, 2021
- 11:52
Hacker gets 12 years for attacking U.S. banks, brokers
Sentence follows guilty plea on series of fraud, conspiracy charges
- By: James Langton
- January 7, 2021 January 7, 2021
- 16:57
Firms should report damage from SolarWinds hack: NASAA
Cybersecurity incident is having wide-ranging effects, based on industry alerts
- By: James Langton
- January 7, 2021 January 7, 2021
- 15:45
Diverse array of tipsters collect SEC payouts
Five whistleblowers share a combined US$1.1 million for enforcement tips
- By: James Langton
- January 7, 2021 January 7, 2021
- 15:21
OSC adds new faces to securities proceedings committee
Three join advisory committee for OSC's adjudicative role
- By: James Langton
- January 7, 2021 January 7, 2021
- 12:52
Thousands of UK financial firms face failure: FCA
Industry survey details pandemic fallout for financial sector
- By: James Langton
- January 7, 2021 January 7, 2021
- 12:32
Retail investor costs in EU regs’ crosshairs for 2021
ESMA will focus on fund costs in the year ahead
- By: James Langton
- January 6, 2021 January 6, 2021
- 12:07
IIROC details pandemic relief efforts
The SRO offered hardship exemptions from certain rules for much of 2020
- By: James Langton
- January 6, 2021 January 6, 2021
- 11:50