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Court dismisses challenge of deal that helps U.S. nab tax cheats in Canada

A Federal Court judge found FATCA doesn't violate the Charter of Rights and Freedoms

Gavel and legal books

B.C. firm admits to misusing ‘soft dollars’ in settlement with regulator

Genus Capital Management will pay back $1.67 million to clients

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MFDA consults on CE accreditation process

Regulator may allow member firms to accredit CE activity of their own reps

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Members wanted for FSRA pension advisory committees

Committees will advise the regulator on three pension-related areas

  • By: IE Staff
  • July 19, 2019 July 22, 2019
  • 15:45
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OSC reaches $2 million settlement with Caldwell over best execution failures

A panel said the firm failed to put client interests ahead of its own

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FSB delays reforms to securities financing rules

International policy group developed measures to boost financial sector resilience

Stacked white books on rules and regulations

OSFI revising liquidity, capital rules for banks

The rules were last updated in 2012

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Senior clients need more from financial firms: report

OBSI finds seniors complain the most about mutual funds, disclosure issues

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IOSCO pushes back on criticism

The group has been critiqued on its approach to investment fund regulation

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Second man charged in alleged Ponzi scheme

Toronto police announced the arrest of a second man on Wednesday

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Investor cost disclosure under the microscope

ESMA is seeking feedback on disclosure requirements

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FINRA’s fight against mutual fund overcharging leads to investor restitution

Settlements generate US$89 million in restitution

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Brokerage account hacks enabled market manipulation, U.S. authorities say

Defendant pleads guilty to his role in the scheme

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BCSC alleges woman violated trading ban

Woman was permanently banned and ordered to pay $2.24 million in 2017

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U.S. brokerage to repay institutional clients misled by its traders

Firm agrees to repay fund manager clients US$25M and pay US$1.5M in penalties

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Toronto police announce charges in alleged Ponzi scheme

Police allege investors were defrauded of $955,980

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Market data costs resisting reform, ESMA says

Analysis shows prices remain too high — and new fees have emerged

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

Investment firms dodging restrictions on CFD trading, ESMA warns

Regulators say firms are using a number of methods to skirt the rules

IIROC proposes revisions to CE program

Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26

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FSB surveys firms on coming back from cyberattacks

Group says responses will be used to help develop best practices

Stacked white books on rules and regulations

FINRA provides guidance on enforcement cooperation

SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation

Banking on a holistic approach

OSFI proposes tailored capital rules for smaller banks

The regulator is seeking feedback on possible revisions to the capital regime

Gavel and judgement on desk

OSC denies former rep’s appeal of IIROC disciplinary ruling

Applicant argued that an IIROC panel erred in its findings

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Synthetic identity theft is the fastest-growing financial crime, U.S. Fed warns

Crime involves using real and fake information to craft an identity

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U.S. regulators propose reduced margin requirements for security futures

Proposal seeks to reduce minimum requirement to 15% of current market value