IOSCO seeks pandemic lessons in resilience
Continuity planning enabled firms, trading venues to ride out disruption
- By: James Langton
- January 13, 2022 January 13, 2022
- 15:22
Latest news in From the Regulators
FINTRAC fines credit union
Regulator sanctions firm for anti–money laundering compliance violations
- By: James Langton
- January 13, 2022 January 13, 2022
- 15:09
CSA adopts changes to auditor oversight rules
The amendments give regulators access to audit work performed by foreign firms
- By: IE Staff
- January 13, 2022 January 13, 2022
- 14:50
IIROC proposes rule amendments to better protect investors
Changes include clearer requirements for dealers to conduct investigations
- By: IE Staff
- January 13, 2022 January 13, 2022
- 14:08
Affinity fraud targeted Pakistani-Canadian community, OSC alleges
Regulator says scheme took $2 million from investors
- By: James Langton
- January 11, 2022 January 11, 2022
- 16:17
FSRA to shine a light on enforcement
The regulator is stepping up public disclosure of disciplinary actions
- By: James Langton
- January 11, 2022 January 11, 2022
- 16:13
OBSI releases strategic plan amid increased scrutiny
Promises for action on OBSI have repeatedly gone unmet, however
- By: James Langton
- January 11, 2022 January 11, 2022
- 15:09
“If we have to raise interest rates more over time, we will,” Powell says
The Fed chair said Tuesday that inflation poses a major threat to the job market
- By: Christopher Rugaber, The Associated Press
- January 11, 2022 January 11, 2022
- 14:07
Nova Scotia regulator bans repeat offender
The former rep was also ordered to pay a $500,000 fine for securities violations
- By: James Langton
- January 11, 2022 January 11, 2022
- 12:54
Market data faces scrutiny from U.K. regulator
FCA launching series of studies in response to anti-competitive concerns
- By: James Langton
- January 11, 2022 January 11, 2022
- 12:45
IIROC panel sanctions rep for KYC violations
Clients lost over $1 million on risky options strategy in market crash
- By: James Langton
- January 10, 2022 January 10, 2022
- 16:18
Crypto scams top regulators’ list of threats
Stories of "crypto millionaires" have led to big bets and big losses
- By: James Langton
- January 10, 2022 January 10, 2022
- 14:12
SEC alleges insider trading ahead of failed Aphria bid
U.S. authorities charged three men in connection with an alleged multimillion-dollar scheme
- By: James Langton
- January 7, 2022 January 7, 2022
- 10:00
IIROC bans, fines former advisor $1 million
The ex-representative embezzled funds from elderly clients
- By: James Langton
- January 6, 2022 January 6, 2022
- 13:47
FSRA consults on living wills for credit unions
Consolidation may make it tougher for troubled firms to find merger partners
- By: James Langton
- January 6, 2022 January 6, 2022
- 12:13
Canaccord settles IIROC client overcharging case
The firm agreed to a $157,500 fine and will repay 6,000 affected clients
- By: James Langton
- January 5, 2022 January 6, 2022
- 17:22
ESMA preps for blockchain pilot
Regulators consult on rule changes ahead of digital securities test
- By: James Langton
- January 5, 2022 January 5, 2022
- 15:43
OSC now has two executive directors
Randhawa to oversee innovation, modernization and outreach in new role
- By: James Langton
- January 5, 2022 January 5, 2022
- 14:45
Global fund sector leverage modest: IOSCO
New supervisory data sanguine about leverage, liquidity conditions
- By: James Langton
- January 4, 2022 January 4, 2022
- 13:40
FSRA outlines framework to improve complaints resolution
The Ontario regulator is reviewing how well complaints are addressed
- By: IE Staff
- December 23, 2021 December 23, 2021
- 12:01
MFDA withdraws discretionary trading, titles proposals
Regulator makes changes in light of new SRO and forthcoming regulations
- By: Melissa Shin
- December 23, 2021 December 23, 2021
- 11:40
With marching orders, federal housing minister looks to tamp down on investment homes
The government will draw a line between mom and pop-style landlords and large real estate trusts that own hundreds of units
- By: Jordan Press
- December 21, 2021 December 21, 2021
- 16:19
FSRA publishes final proposal on unfair, deceptive acts in insurance
The new rule will come into force following ministerial approval
- By: IE Staff
- December 21, 2021 December 21, 2021
- 14:14
U.K. fraudsman gets Ontario jail time
Man who ran forex fraud scheme from the U.K. gets six years in prison
- By: James Langton
- December 17, 2021 December 17, 2021
- 16:18
Scotia Capital settles fee fumble case
SRO fine pales against firm's $32-million remediation plan
- By: James Langton
- December 17, 2021 December 17, 2021
- 15:44