Fight over Bridging Finance evidence brewing
The OSC is gearing up to oppose claims of improper disclosure
- By: James Langton
- July 22, 2021 December 23, 2021
- 13:14
Latest news in From the Regulators
ASIC puts cold calling on ice
Inquest into industry misconduct leads to "anti-hawking" reforms
- By: James Langton
- July 21, 2021 July 21, 2021
- 12:43
Financial market plumbing not prepared for quick recovery, regs warn
A review found a lack of timely recovery plans, leading to a "serious concern"
- By: James Langton
- July 21, 2021 July 21, 2021
- 12:38
OSC seeks technical expertise on fund regulation
Senior industry compliance and operations experts are wanted for a regulatory advisory committee
- By: James Langton
- July 21, 2021 July 21, 2021
- 12:25
Basel Committee proposes change to G-SIB assessments
Regulators seek to scrap three-year review for ongoing monitoring
- By: James Langton
- July 20, 2021 July 20, 2021
- 14:42
FCA issues anti-greenwashing guidance
The U.K. regulator found the quality of asset managers' ESG fund disclosure to be poor
- By: James Langton
- July 19, 2021 July 19, 2021
- 15:16
SEC settles with UBS over use of volatility-linked product
The US$8.1-million settlement will be distributed to harmed investors
- By: James Langton
- July 19, 2021 July 19, 2021
- 14:08
Crypto regulation a plus for banks, fintechs: Moody’s
Federal Reserve's plans for stablecoins could bring transparency and safety to the sector
- By: James Langton
- July 19, 2021 July 19, 2021
- 13:57
Accountability board seeks to step up enforcement disclosure
Greater transparency could help investors and improve audit quality
- By: James Langton
- July 19, 2021 July 20, 2021
- 13:47
Finance reviews complaint-handling system of banks
Consultation follows a report that exposed deficiencies with the current system
- By: James Langton
- July 16, 2021 July 16, 2021
- 12:52
SPACs pose added risks to investors, ESMA warns
Shell company deals can be complex and risky, regulators say
- By: James Langton
- July 15, 2021 July 15, 2021
- 15:07
Offshore firms pay $4 million for unregistered CFD trading
An OSC hearing panel approves a settlement and says the sanctions represent a deterrent
- By: James Langton
- July 15, 2021 July 15, 2021
- 13:10
OSC warns firms about recent phishing attacks
Industry firms have been targeted with campaigns impersonating regulators
- By: James Langton
- July 15, 2021 July 15, 2021
- 12:50
Industry recruited in the fight against senior abuse
New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors
- By: James Langton
- July 15, 2021 July 15, 2021
- 12:32
Covid-19 gave kickstart to cyber attacks
Remote working, increased dependence on technology and economic disruption have created a perfect storm for cyber criminals
- By: James Langton
- July 14, 2021 July 14, 2021
- 16:48
FSRA to leave limits on life sector incentives
Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives
- By: James Langton
- July 14, 2021 July 14, 2021
- 16:35
Paying cash for enforcement tips is a success: OSC
The regulator's whistleblower program has generated hundreds of tips and paid out millions in rewards
- By: James Langton
- July 14, 2021 July 14, 2021
- 14:23
Regulators plead for more clarity on crypto rules
A pair of SEC commissioners criticized the lack of guidance regarding the regulator's approach to digital assets
- By: James Langton
- July 14, 2021 July 14, 2021
- 13:49
SEC sanctions players in SPAC deal
The regulator alleged that investors were misled by a shell company and its acquisition target
- By: James Langton
- July 13, 2021 July 13, 2021
- 17:36
Pension giant settles with SEC, New York AG
The firm pushed advisors to recommend higher-cost managed accounts to clients
- By: James Langton
- July 13, 2021 July 14, 2021
- 15:20
Pandemic exposed cracks in global financial system
Further reforms may be needed to address vulnerabilities revealed under extreme market stress
- By: James Langton
- July 13, 2021 July 13, 2021
- 13:41
There’s still no such thing as a free lunch, regulators warn
Zero-commission trading isn't free, it comes with hidden costs, ESMA says
- By: James Langton
- July 13, 2021 July 13, 2021
- 13:16
Rep sanctioned over needless DSC sale
A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
- By: James Langton
- July 12, 2021 July 12, 2021
- 17:23
Ex-Bridging Finance CEO seeks to upend OSC investigation
David Sharpe alleges the regulator improperly disclosed evidence obtained in compelled testimony
- By: James Langton
- July 9, 2021 December 23, 2021
- 17:50
B.C. to launch single regulator for financial sector on Aug. 1
Real estate regulators to be rolled into BCFSA
- By: James Langton
- July 9, 2021 July 9, 2021
- 16:26