Home News From the Regulators

Latest news in From the Regulators

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

IIROC offers relief for reps unable to write exams

Dealers and representatives face issues due to CSI exams being suspended

Federal Hall with Washington Statue on the front, wall street, Manhattan, New York City

U.S. regulator collects US$40 million in fines

SRO says top priority is returning money to harmed investors.

red warning flag on a stormy beach

Offshore firm using pandemic to drum up clients, MSC warns

Unregistered company offering trading in forex, CFDs

dirty hands of a miner

Mining disclosure needs polish, CSA declares

Regulators review found miners' technical disclosure requires improvement

Whistleblower

SEC whistleblower award sets new record

Tipster takes home US$50 million, topping previous US$39 million record

Businessman check seriously analyzes a finance report investor colleagues discussing new plan financial graph data. bank managers task. Concept business and finance ,Account analyzes planing

Shining a brighter light on bond markets

CSA rule changes aim to expand investor access to debt trading data

compliance solutions rubber stamp

CSA speeds access to capital

New rules for "at-the-market" distributions take effect Aug. 31

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Regulator rebuffs rep’s bid for retrial

The mutual fund representative said he didn't intend to admit to misconduct

U.S. investor warned of Covid-19 relief scams

Fraudsters urging investors to buy new, risky investments, regulators say

Data protection concept. GDPR. EU. Cyber security. Business man using mouse computer with padlock icon and internet technology network on blue background.

ESMA consults on outsourcing standards

Cybersecurity is a key issue, along with supervisory concerns

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

CERB a favourite target for scammers

Fraud agency has received more than 1,000 reports of pandemic-related schemes

Young lady running on a rural road during sunset

MFDA seeks to speed up account transfers

The regulator issues a consultation paper on transfer challenges

Big Ben, Westminster Bridge on River Thames in London, the UK. English symbol. Lovely puffy clouds, sunny day

FCA bans offshore firms for fake celeb endorsements

Four Cyprus-based firms can no longer sell contracts for difference to U.K. investors

red warning flag on a stormy beach

Local lockdowns threaten U.S. banking system, regulator warns

Business restrictions and mask requirements pose an array of risks to banks, OCC says

Word Cloud with Risk Assessment related tags`

OSC revives postponed risk-rating exercise

Risk survey, originally planned for April, will now go ahead in June

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

CSA extends filing relief for dealers

Firms get second 60-day extension due to Covid-19

financial worker analyzing business data and working with tablet computer

Extra time for financials, but high-quality disclosures needed: IOSCO

Investors need reliable, robust disclosure on Covid-19 effects, regulators say

Bitcoin in the hands of a child. The boy holds a metal coin of crypto currency in his hands.

OSC settles with failed crypto miners

Settlement includes sanctions, disgorgement and market bans

Businessman Blowing Whistle Isolated on White Background

NASAA paves way for whistleblower awards

Proposed model act provides template for state whistleblower laws

outsourcing word on yellow roadsign on blue urban background

IOSCO proposes enhancing outsourcing oversight

Proposals aim to ensure security, operational resilience

Gavel and legal books

AMF enforcement leads to millions in fines, multiple jail sentences

Regulator promises vigilance during pandemic

man opening curtain to reveal something

New directors nominated for IIROC’s board

The nominees have experience with senior and vulnerable investors

  • By: IE Staff
  • May 28, 2020 May 28, 2020
  • 12:27
United States Capitol, Washington DC

Pandemic no excuse for weaker investor protection: NASAA

State regulators warn against attempts to deregulate in response to Covid-19

stock market world economy abstract

Financial sector braces for pandemic fallout

Global financial system has weathered Covid-19, but risks remain

Virtual Wallet Smartphone Bitcoins On Printed Circuit Board concept

NSSC warns about unregistered crypto firm

Regulator cautions against shopping for investments online