FCA ponders dual-class shares in bid to boost listings
The regulator has proposed a set of reforms to enhance the appeal of going public
- By: James Langton
- July 6, 2021 July 6, 2021
- 14:58
Latest news in From the Regulators
The calm before the enforcement storm?
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
- By: James Langton
- July 6, 2021 July 6, 2021
- 14:42
OSFI consults on capital rules for crypto
The federal regulator is seeking feedback on the design of a prudential regime for digital assets
- By: James Langton
- July 5, 2021 July 5, 2021
- 16:24
IOSCO names new head
The regulator faces a long list of challenges ahead, including environmental and systemic risks
- By: James Langton
- July 5, 2021 July 5, 2021
- 12:15
Lack of NAV to leave Bridging Finance investors with hole in portfolios — for now
Some investors may see a zero on their June 30 statements
- By: James Langton
- June 30, 2021 December 23, 2021
- 17:30
Regulators’ new challenge: educating rookie investors
FINRA seeks input on reaching meme stock traders and other novices
- By: James Langton
- June 30, 2021 June 30, 2021
- 16:31
Aussies look to follow Canada’s lead on crypto funds
Australian regulators launch consultation on regulated crypto investment products
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:49
Time to tackle fund industry greenwashing: IOSCO
Proposals aim to combat investor protection issues arising in ESG investing
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:33
FSB consults on post-pandemic reforms
Proposals aim to address vulnerabilities revealed in the money market sector in March 2020
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:23
Ontario court rejects proposed class action against cannabis company
Stock price declines were attributable to Covid-19, not accounting errors
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:14
Robinhood to pay US$70 million to settle FINRA accusations
The charges included hurting clients by giving misleading information and allowing risky trades
- By: The Associated Press
- June 30, 2021 June 30, 2021
- 12:09
SEC names NJ attorney general to head enforcement
Former prosecutor and current state attorney general Gurbir Grewal named to top post
- By: James Langton
- June 29, 2021 June 29, 2021
- 15:53
Compensation available to certain victims of decade-old fraud scheme
Investors who lost money in a case settled with regulators in 2010 are now entitled to make claims
- By: James Langton
- June 29, 2021 June 29, 2021
- 15:51
SEC sanctions trading platform for breach
After being acquired by JP Morgan, the firm gave up its registration but continued to provide services, the SEC alleged
- By: James Langton
- June 29, 2021 June 29, 2021
- 11:50
Fund rep sanctioned for stealing from bank customers
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
- By: James Langton
- June 29, 2021 June 29, 2021
- 08:58
Former Calgary advisor faces fraud charges
The RCMP alleges the former rep engaged in unauthorized trading and secret commissions
- By: James Langton
- June 28, 2021 June 28, 2021
- 16:39
Bulk of Bridging funds’ loans under review by PwC
The latest report to investors shows the majority of funds' assets have yet to be classified
- By: James Langton
- June 28, 2021 December 23, 2021
- 15:37
New Zealand regulators to influencers: #Dontgiveunregisteredfinancialadvice
Regulators issued a guidance directed at social media "finfluencers"
- By: James Langton
- June 28, 2021 June 28, 2021
- 11:53
Pair charged in global insider trading scheme
Traders allegedly paid for tips from investment bankers and corporate insiders
- By: James Langton
- June 25, 2021 June 25, 2021
- 16:55
Merrill Lynch sanctioned for alleged churning
FINRA has fined the firm and ordered restitution for early rollover recommendations
- By: James Langton
- June 25, 2021 June 25, 2021
- 12:48
IIROC sails through CSA review
An oversight examination has uncovered just one "low-priority" issue with market surveillance
- By: James Langton
- June 25, 2021 June 25, 2021
- 11:31
NSSC reduces IIROC sanctions
The regulator reduced penalties against an advisor after finding errors in the SRO's decision
- By: James Langton
- June 24, 2021 September 21, 2021
- 14:06
U.S. regulators eye rules as retail trading surges
FINRA reminded firms that order routing must seek best execution, not richest incentives, in a recent notice
- By: James Langton
- June 24, 2021 June 24, 2021
- 12:29
MFDA fines and bans rep who borrowed from a client
The client was repaid, but the funds used to repay the client came from a mysterious source
- By: James Langton
- June 23, 2021 June 23, 2021
- 17:53
CFRs won’t disrupt DSC sales ahead of ban
Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect
- By: James Langton
- June 23, 2021 June 23, 2021
- 15:05