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CSA signs fintech cooperation deal with MAS

Deal will allow businesses in Canada and Singapore to access new regulated markets

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Cannabis sector conflicts prompt CSA action

The regulator issued new guidance on Tuesday aimed at enhancing disclosure provided by cannabis companies

Global bank policymakers shuffle leadership

Appointments made to lead BIS central bank groups

Law.

Global binary options scheme defrauded investors, DoJ alleges

Alleged scheme involved marketing US$140 million in binary options

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SEC, AMF seek restitution for ICO investors

Firm and its founders ordered to pay US$6.9 million

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Record settlement in CFTC spoofing case

Tower Research Capital will pay US$67.4 million

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FAIR Canada adds to board

New members bring extensive knowledge of investors rights and consumer advocacy

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Nasdaq sharpens market surveillance

New technology incorporates AI into monitoring systems

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Ontario to review Securities Act for first time in 16 years

Province will create a task force for the review

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U.S. firms to pay back overcharged clients, FINRA says

Firms allegedly charged excess fees on education savings plans

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Enforcement action, sanctions surge in 2019, SEC reports

The increases came in spite of the U.S. federal government shutdown

Stacked white books on rules and regulations

SEC seeks to toughen proxy rules

Proposals include stricter rules about proxy solicitation and shareholder proposals

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Bitcoin usage up, Bank of Canada finds

Survey finds most Bitcoin owners are speculators, although more people are using the cryptocurrency for transactions

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ESMA consults on commodity derivatives reforms

Feedback due in Jan. 2020

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SEC could allow testimonials, endorsements in advisor advertising

SEC also extends soft-dollar relief related to MiFID II

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IIROC settles trading violation case with RBC, Scotia and TD

The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.

Whistleblower

Investors can be whistleblowers too, SEC says

A sports auction site allegedly required investors to sign an agreement stating they would not report violations to the SEC

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B.C. court appoints receiver for crypto platform Einstein Exchange

The BCSC took action when customers on the unregistered exchange couldn't access their assets

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

Global cryptos could be securities, IOSCO says

So-called "stablecoins" need to be evaluated on a case-by-case basis, global regulators say

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Canada tapped to host global banking event

The conference will focus on global regulatory issues tied to the banking industry

  • By: IE Staff
  • October 31, 2019 November 5, 2019
  • 13:38

IIROC launches crypto advisory group

The members will provide the SRO with policy advice

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ISS sues SEC over guidance on proxy advice

Proxy advisory firm claims guidance is "arbitrary and capricious"

FSRA steps into global sandbox

Ontario's new financial services regulator will cooperate with its global counterparts

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OSC approves Bitcoin investment fund

3iQ Corp.'s Bitcoin Fund was originally rejected by the regulator's staff

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Trading ban breacher gets jail time

The recidivist was sentenced to 90 days in prison and two years probation