Manitoba commission warns of surge in online scams
Unregistered offshore schemes abound pitching crypto, foreign exchange, contracts for difference
- By: James Langton
- December 2, 2021 December 2, 2021
- 16:17
Latest news in From the Regulators
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
- By: The Canadian Press
- December 2, 2021 December 2, 2021
- 12:05
CSA to launch investor panel
The new national Investor Advisory Panel will provide retail investor perspective on regulators' work
- By: James Langton
- December 2, 2021 December 2, 2021
- 11:00
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
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
- By: James Langton
- December 1, 2021 July 19, 2022
- 10:30
Crypto trader admits fraud
Investment funds turned out to be built on false promises
- By: James Langton
- November 30, 2021 November 30, 2021
- 17:37
OSFI joins global climate group
Central bankers, regulators share best practices on dealing with climate risk
- By: James Langton
- November 30, 2021 November 30, 2021
- 14:52
OSC launches review of bank-owned dealers
The regulator is set to examine banks' product shelves and tied selling
- By: James Langton
- November 30, 2021 November 30, 2021
- 13:52
OSFI delays final Basel III reforms to Q2 2023
New deadline gives banks more time to prepare for final reforms
- By: James Langton
- November 29, 2021 November 29, 2021
- 16:56
RCMP files charges in alleged investment scam
Canada-wide warrants issued for accused couple
- By: James Langton
- November 29, 2021 November 29, 2021
- 15:08
Regulators aim to expand access to central clearing
The consultation covers a crucial element of post–financial crisis reforms
- By: James Langton
- November 29, 2021 November 29, 2021
- 14:58
SEC warns about juicing executive pay
The U.S. regulator called out the practice of granting options ahead of good news
- By: James Langton
- November 29, 2021 November 29, 2021
- 14:53
Credit unions receive boosted conduct standards
FSRA issues guidance on credit unions' market conduct frameworks
- By: James Langton
- November 29, 2021 November 29, 2021
- 14:46
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
- By: James Langton
- November 26, 2021 November 26, 2021
- 15:26
Market risks remain high, ESMA warns
Managing the withdrawal of monetary and fiscal supports remains key
- By: James Langton
- November 26, 2021 November 26, 2021
- 12:46
BFI fund audits withdrawn
Receiver reports that funds' former auditor retracted two years of audit reports
- By: James Langton
- November 25, 2021 December 23, 2021
- 16:49
MFDA proposes new alt fund proficiency rule
Proposal would replace the requirements under provincial regulators' existing rules
- By: James Langton
- November 25, 2021 November 25, 2021
- 12:21
Quadrus settles with MFDA over lapses in sales practices
Incentive structure favoured in-house funds over third-party funds, regulator found
- By: James Langton
- November 24, 2021 November 24, 2021
- 16:53
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
Ontario calls for action on shelf space shrinkage
The Ontario government has asked the OSC to review banks' fund lineups, tied selling
- By: James Langton
- November 23, 2021 November 23, 2021
- 11:51
OSC launches first wave of TestLab experiments focused on KYC, KYP
Early focus will be on helping advisors understand products and collect client information
- By: James Langton
- November 22, 2021 November 22, 2021
- 15:39
Time to reform valuation practices, IIAC says
Group flags the problem of accurately valuing thinly traded securities
- By: James Langton
- November 22, 2021 December 7, 2021
- 14:46
SEC total enforcement activity down slightly in 2021
The U.S. regulator reported a record year for whistleblowers
- By: James Langton
- November 19, 2021 November 19, 2021
- 14:57
New SRO by end of 2022, CSA pledges
Regulators aim to name CEO, board by Q2 next year
- By: James Langton
- November 18, 2021 November 18, 2021
- 12:14
TFSA limit for 2022 released
Find out how much clients can contribute
- By: Rudy Mezzetta
- November 17, 2021 November 17, 2021
- 17:28