Financial sector vulnerabilities on the rise
Valuations, inflation, investor exuberance top European regulators' concerns
- By: James Langton
- September 8, 2021 September 8, 2021
- 12:51
Latest news in From the Regulators
New benchmarks risk repeating LIBOR’s failings
IOSCO warns that alternative rates may not be suitable
- By: James Langton
- September 8, 2021 September 8, 2021
- 12:41
Regulators must face the rise of the machines
IOSCO sets guidance on overseeing AI use for investment firms, asset managers
- By: James Langton
- September 7, 2021 September 7, 2021
- 14:43
MFDA gets approval for client-focused reform rule amendments
The SRO has elected to maintain more prescriptive guidance around KYC reviews
- By: Katie Keir
- September 3, 2021 September 3, 2021
- 11:44
SEC charges multiple defendants over US$2B crypto scam
The action involves online crypto-lending platform BitConnect and related individuals
- By: IE Staff
- September 2, 2021 September 2, 2021
- 17:10
OSC reports higher surplus, progress on priorities
The regulator issued more administrative sanctions in 2020–21 than the previous year but monetary sanctions were way down
- By: Michelle Schriver
- September 2, 2021 September 2, 2021
- 14:44
New prospectus exemption will support small biz in the Prairies
On a pilot basis, businesses in Alberta and Saskatchewan will be able to raise public capital more easily
- By: IE Staff
- September 1, 2021 September 1, 2021
- 14:57
FSRA met or exceeded most of its service targets in Q1
One weak area was application processing for prospective mortgage brokers and insurance agents
- By: Katie Keir
- August 30, 2021 August 30, 2021
- 15:37
Tipsters used complex analysis to uncover misconduct
The SEC has awarded US$2.6 million to an assortment of whistleblowers
- By: James Langton
- August 27, 2021 August 27, 2021
- 16:14
Digital confetti drops, online tricks facing SEC scrutiny
Regulators concerned about blurring lines between engagement and advice
- By: James Langton
- August 27, 2021 August 27, 2021
- 15:59
Legal counsel for Bridging Finance investors to get independent look
Court gives nod to receiver's plan to find counsel for investors
- By: James Langton
- August 27, 2021 December 23, 2021
- 13:39
Regulators approve IIROC’s rules related to client-focused reforms
Revised KYP and product due diligence guidance accompany the rule changes
- By: James Langton
- August 26, 2021 August 26, 2021
- 15:29
Crypto fraudsman gets jail time
Ex-CEO gets five years in jail for initial coin offering scheme
- By: James Langton
- August 25, 2021 August 25, 2021
- 17:37
ASIC aims to plug gaps in trading rules
The regulator tightens "payment for order flow" prohibition
- By: James Langton
- August 25, 2021 August 25, 2021
- 13:17
Investment schemes violated rules, NSSC finds
A written hearing will be held to set sanctions in the case
- By: James Langton
- August 25, 2021 September 21, 2021
- 13:09
CSA to host roundtable that tackles greenwashing
A virtual panel will examine a range of regulatory issues driven by the rise of ESG investing
- By: James Langton
- August 25, 2021 August 25, 2021
- 13:01
Groups call for KYC to go beyond minimum standards
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
- By: James Langton
- August 23, 2021 August 23, 2021
- 14:37
Coinberry gets relief from OSC to trade crypto
The ruling includes investment limits, disclosure rules and regulatory reporting conditions
- By: James Langton
- August 20, 2021 August 20, 2021
- 13:46
Make responsible investing part of KYC, suitability, RIA says
The Responsible Investment Association suggested revisions to proposed regulatory amendments
- By: Michelle Schriver
- August 19, 2021 August 19, 2021
- 15:12
SEC opens access to financial data
The U.S. regulator released APIs for annual and quarterly filings
- By: James Langton
- August 19, 2021 August 19, 2021
- 15:10
ASC sanctions pair in market manipulation scheme
A regulatory hearing panel handed down market bans and monetary penalties
- By: James Langton
- August 18, 2021 August 18, 2021
- 14:58
Launching a robo? Better let IIROC know
The SRO clarifies when material changes must be reported
- By: James Langton
- August 18, 2021 August 18, 2021
- 11:16
SEC settles with Canadian adviser for short-selling violations
A broker failed to mark trades as short based on bad information from the adviser
- By: James Langton
- August 17, 2021 August 18, 2021
- 16:31
Counsel sought for BFI investors
Receiver to seek extension for advisory committees, approval for process to find investor counsel
- By: James Langton
- August 17, 2021 December 23, 2021
- 15:29
Cloud computing transforming brokerage industry, report says
Technology presents opportunities as well as challenges for firms, FINRA said
- By: James Langton
- August 16, 2021 August 16, 2021
- 15:32