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SIFMA sues SEC over Covid-19 relief measure

Trade group claims exemption is unfair to brokers, investors

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Police bust alleged Ponzi scheme

Project Cosmo uncovered multi-million fraud targeting Toronto's Filipino community

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FINRA flags fake website

SRO warns firms about phishing, malware risk

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FSRA sets proposed standards for planners, advisors

Regulator proposes minimum competency requirements for advisor, planner titles

Red alert

OSC sets conditions on fund manager

Regulator seeks to address concerns about client over-concentration


Regulators must adapt to new liquidity drivers: IOSCO

New approaches to attracting liquidity need oversight too

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IIROC provides funding for investor legal aid

The SRO will offer five years of funding to the Osgoode Investor Protection Clinic


Court appoints counsel for investors in PACE Securities wind-up

PACE Credit Union will propose a settlement for investors

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AMF seeks volunteers for advisory group on distribution

Two openings on distribution issues committee

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BIS names finalists in regtech hackathon

Competition received 128 entries, pared to 20 for final judging

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Fast-forward DSC ban, investor advocate urges

Kenmar calls on CSA to adopt DSC ban next March

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U.S. broker fined by SEC, CFTC and FINRA

Supervisory lapses allowed shady trading to go unchecked

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AMF seeks investment products expertise

The regulator calls for industry volunteers to join advisory group

CSA allows Wealthsimple to test crypto platform

Firm gets go ahead to test regulated crypto trading in CSA sandbox

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IIROC sets virtual AGMs, provides hardship exemptions

IIROC to hold AGM via video conference in September

Businessman with yellow insurance umbrella looking over city

Pandemic turns banks into preppers

Regulators' proposals aim to ensure banks can endure severe negative events

compliance puzzle

CSA reforms syndicated mortgage rules

Regulators harmonize exemptions and enhance disclosure requirements


PEAK settles with MFDA

Fund dealer admits to not fully investigating suspected rep misconduct

advisor working from home

SEC proposes fund reporting overhaul

The proposals seek a more investor-friendly approach to fund disclosure


OSC seeks to ban securities fraudster

Regulator to hold hearing for Canadian serving time in U.S.

gavel on a laptop

Everyone lies online — just not in virtual hearings, please

OSC publishes guide for online proceedings

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IIROC gets clean sheet in CSA review

No issues found in targeted review of SRO's enforcement function

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Hackathon seeks ‘tradetech’ solutions

The tech competition aims to further trade finance innovation

Red alert

CFTC warns investors about Covid-19 relief schemes

Regulator warns against using relaxed rules to convert savings into precious metal investments


Court rejects appeal of OSC’s decision in Quadrexx case

The regulator didn't make errors or deny fairness, the court finds