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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

Whistleblower

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