Home News From the Regulators

Latest news in From the Regulators

fintech and blockchain icons on financial technology background

Unregulated financial sector AI poses risks: OECD

A report from the group calls for enhanced oversight of industry algorithms and technology

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

Pump-and-dump schemes are now openly orchestrated on social media

Australian securities watchdog is calling on industry, investors to guard against online manipulations


OSC announces IFTAC members for new term

There are 16 members of the committee

  • By: IE Staff
  • September 24, 2021 September 24, 2021
  • 12:43

Former Wall Street analyst charged with front running

Thousands of small trades over five years generated millions in profits, SEC alleges

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Ex-OSC chief Maureen Jensen to helm OBSI

Jensen joined OBSI's board and is tapped to be the next chair


IIROC drops charge against ex-Pace CCO

The SRO withdrew the allegation after settling with the firm's former head

Red alert

Crypto world fuelled by hype — and securities watchdogs aren’t amused

Marketing tactics by crypto firms are raising concerns with CSA and IIROC

Closeup of mallet being hit on stacked coins at table in courtroom

NSSC orders fraudsmen to pay nearly $2M

The pair was banned, and ordered to pay penalties, costs and disgorgement

Metal handcuffs placed over the word fraud

Agreeable personalties more vulnerable to fraudsters

New research uncovers some of the traits shared by investment scam victims

Pile of cryptocurrency coins

Don’t shut banks out of the crypto space, trade groups argue

The Basel Committee's approach is too strict on regulated firms, the industry says

Judge gavel, scales of justice and law books in court

Court rejects industry critic’s evidence in class action against TDAM

The Supreme Court of B.C. said an "unshakeable bias" against big banks has led to excluded evidence

papers on a desk

Many U.S. advisory firms lack vulnerable client policies

Shortcoming uncovered in state regulators' compliance reviews, NASAA reports


SEC alleges crowdfunding violations

Platform charged along with scheme's alleged perpetrators

stage curtain

Regulators bring diversity push in-house

North American body adopts diversity, inclusion policy


Discretion proves better part of valour for advisor

Court finds no breach when advisor didn't "sell in May and go away"

Row of business people listening to presentation at seminar

IIROC will host panel on inclusion for advisors

The online event on Oct. 13 will focus on diversity issues for frontline staff

High angle view of mallet eyeglasses legal book in courtroom

SEC settles with RBC unit over bond allocations

So-called bond flippers prioritized over retail, institutional clients, regulator alleged

metal scales of justice in court room

Madoff victims to see another payout

More than US$4 billion in total is expected to be returned to Madoff's investors


PACE Securities CEO faces temporary ban after IIROC settlement

The settlement follows the firm's liquidation last year


OSC grants critical benchmark status to CDOR

Regulatory oversight for benchmarks comes in response to the LIBOR scandal

Peggy's Cove Lighthouse Nova Scotia

Maritime regulators kick off diversity discussion

The NSSC and FCNB published a consultation paper on possible governance reform


SEC whistleblower payouts top US$1-billion mark

Agency pays near-record US$110 million to tipster

Two business men shouting through megaphones

FAIR Canada blasts banks for trimming shelves

The advocacy group calls for action to preserve competition and protect investors

Target hit in the center by arrow

Poor returns, bad advice, scams all in FCA’s crosshairs

The U.K. regulator unveiled a three-year strategy to combat an array of investor harms


Trailer-fee class action can proceed as court denies leave

Court denies leave to appeal certification decision in a BMO funds case