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
Latest news in From the Regulators
ASC finds inventor defrauded investors
Funds raised ostensibly for a dental drill were diverted for personal use
- By: James Langton
- August 16, 2021 August 16, 2021
- 14:59
OSFI steps up demands for cyber reporting
Financial firms are now required to report incidents within 24 hours
- By: James Langton
- August 13, 2021 August 13, 2021
- 15:21
BFI investors may soon get legal help
Judge asks PwC to provide input on counsel for investors
- By: James Langton
- August 13, 2021 December 23, 2021
- 13:21
As markets stabilize, OSFI allows leverage relief to expire
Regulator unwinds temporary measures as uncertainty subsides
- By: James Langton
- August 12, 2021 August 12, 2021
- 17:22
Proposed fund dealer class action fails again
B.C. court dismisses appeal in "enhanced compensation" case
- By: James Langton
- August 12, 2021 August 12, 2021
- 14:24
ETFs passed their Covid-19 test, regulators find
ETFs proved resilient in the face of exceptional market volatility, IOSCO says
- By: James Langton
- August 12, 2021 August 12, 2021
- 14:16
Fiera reports Q2 profit as assets grow
AUM reached $179.5 billion, up 4% from the previous quarter
- By: IE Staff
- August 12, 2021 August 12, 2021
- 11:21
U.S. regulators reach US$100-million deal with crypto platform
BitMEX settles with CFTC, U.S. Treasury for registration and anti-money-laundering violations
- August 10, 2021 August 10, 2021
- 15:57
Shining more sunlight on FSRA’s enforcement efforts
Regulator proposes guidance on enhancing enforcement transparency
- By: James Langton
- August 10, 2021 August 10, 2021
- 14:43
CFRs, crypto, online advice top OSC’s compliance agenda
Annual report from OSC compliance branch signals exam targets for the year ahead
- By: James Langton
- August 10, 2021 August 10, 2021
- 13:44
Advisor title regulation on tap for New Brunswick
FCNB launches consultation to address investor confusion surrounding industry titles
- By: James Langton
- August 10, 2021 September 21, 2021
- 11:22
AMF shuts down crypto charity scheme
Regulator secures orders against crypto promoters
- By: James Langton
- August 9, 2021 August 9, 2021
- 17:54
SEC commissioner decries poor guidance, enforcement in crypto space
A popular trading platform has settled allegations that it violated rules as an unregistered exchange
- By: James Langton
- August 9, 2021 August 9, 2021
- 16:12
Court approves Bridging Finance sale process
PwC will hold a two-stage sale for the fund manager and its assets
- By: James Langton
- August 9, 2021 December 23, 2021
- 15:59
Massive microcap fraud scheme run from Canada, SEC says
The alleged schemes generated over US$1 billion in penny stock sales
- By: James Langton
- August 9, 2021 August 9, 2021
- 15:53
More than US$3.5M awarded to three whistleblowers
The SEC has given out approximately US$950 million to 193 whistleblowers since 2012
- By: IE Staff
- August 6, 2021 August 6, 2021
- 15:17
SEC orders US$13M in disgorgement, penalties in first decentralized finance case
Two men from Florida agreed to the penalties without admitting or denying the charges
- By: IE Staff
- August 6, 2021 August 6, 2021
- 13:38
Two firms refused to compensate clients last year, report says
OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years
- By: Mark Burgess
- August 6, 2021 August 6, 2021
- 13:05
FSRA guidance on mortgage sector code takes effect
The Ontario regulator said it will consider adherence to the code when assessing suitability for licensing
- By: IE Staff
- August 5, 2021 August 5, 2021
- 12:15
Government advisory group on open banking wants new rules in place by 2023
The report said technology has outstripped regulation in a rapidly changing financial services industry
- By: Ian Bickis
- August 5, 2021 August 5, 2021
- 11:27
Plan for new SRO gets positive reviews from advocates, industry
The CSA's plan received broad support, but there's plenty of work to do on the details
- By: Michelle Schriver
- August 4, 2021 August 4, 2021
- 15:47
Highest proportion of at-home workers are in finance, insurance
Industry and firm size are key factors in the ability to work from home, StatsCan says
- By: IE Staff
- August 4, 2021 August 4, 2021
- 11:39
Advocates hopeful new federal disability benefit could improve access
The Liberal government's proposed Canada Disability Benefit would be modelled on the guaranteed income supplement
- By: Rudy Mezzetta
- August 3, 2021 August 16, 2021
- 15:37
Insurers’ supervision of MGAs falls short, Ontario regulator says
FSRA releases findings from a review and outlines next steps
- By: IE Staff
- July 29, 2021 July 29, 2021
- 15:27