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Block letters spelling fraud, with magnifying glass

Manitoba commission warns of surge in online scams

Unregistered offshore schemes abound pitching crypto, foreign exchange, contracts for difference

Justice scales and gavel by books

TD Bank’s U.S. subsidiary settles lawsuit with data aggregator Plaid

The fintech was accused of using the bank's logo to trick users into handing over personal data

diverse group of advisors

CSA to launch investor panel

The new national Investor Advisory Panel will provide retail investor perspective on regulators' work

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

AMF fines 3 Bloomberg corporations $4 million

Two of the entities operated as an exchange without regulatory approval, while the third had quarterly report inaccuracies

  • By: IE Staff
  • December 1, 2021 December 1, 2021
  • 13:36
usiness team in a meeting looking at a sheet of paper

Regulatory inaction costs investors billions, audit finds

Ontario's auditor general said the OSC could have acted sooner to address "hidden and unfair" fund fees

gavel on a laptop

Crypto trader admits fraud

Investment funds turned out to be built on false promises

Multiethnic group of people cooperating for environmental protection

OSFI joins global climate group

Central bankers, regulators share best practices on dealing with climate risk

business man using magnifying glass to inspect documents

OSC launches review of bank-owned dealers

The regulator is set to examine banks' product shelves and tied selling

Modern office building close up in sunlight

OSFI delays final Basel III reforms to Q2 2023

New deadline gives banks more time to prepare for final reforms

RCMP files charges in alleged investment scam

Canada-wide warrants issued for accused couple

foreign country with stock market data

Regulators aim to expand access to central clearing

The consultation covers a crucial element of post–financial crisis reforms

SEC warns about juicing executive pay

The U.S. regulator called out the practice of granting options ahead of good news

Modern office building close up in sunlight

Credit unions receive boosted conduct standards

FSRA issues guidance on credit unions' market conduct frameworks

Judge gavel, scales of justice and law books in court

B.C. court finds investor must testify to BCSC

The individual was worried that his testimony to the regulator could be used by U.S. authorities

a man on a precipice

Market risks remain high, ESMA warns

Managing the withdrawal of monetary and fiscal supports remains key

papers on a desk

BFI fund audits withdrawn

Receiver reports that funds' former auditor retracted two years of audit reports

client meeting

MFDA proposes new alt fund proficiency rule

Proposal would replace the requirements under provincial regulators' existing rules

gavel

Quadrus settles with MFDA over lapses in sales practices

Incentive structure favoured in-house funds over third-party funds, regulator found

confused man

Help investors beat FOMO

An OSC Dialogue panellist highlighted the need for investor coaching

  • By: Katie Keir
  • November 24, 2021 November 24, 2021
  • 16:46
Queen's park, Ontario

Ontario calls for action on shelf space shrinkage

The Ontario government has asked the OSC to review banks' fund lineups, tied selling

paper airplanes

OSC launches first wave of TestLab experiments focused on KYC, KYP

Early focus will be on helping advisors understand products and collect client information

stock market down

Time to reform valuation practices, IIAC says

Group flags the problem of accurately valuing thinly traded securities

Court.

SEC total enforcement activity down slightly in 2021

The U.S. regulator reported a record year for whistleblowers

REGULATION CONCEPT

New SRO by end of 2022, CSA pledges

Regulators aim to name CEO, board by Q2 next year

Close up of businesswoman using calculator while going through financial bills.

TFSA limit for 2022 released

Find out how much clients can contribute