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
Latest news in From the Regulators
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BFI fund audits withdrawn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
U.S. to sell seized crypto for fraud victims
Court authorizes liquidation of crypto seized in US$2-billion BitConnect scheme
- By: James Langton
- November 17, 2021 November 17, 2021
- 16:56
Newfoundland is sixth province to give IIROC full enforcement toolkit
The regulator can now collect fines through the courts countrywide
- By: IE Staff
- November 17, 2021 November 17, 2021
- 16:55
As pandemic fades, new risks take its place
The ECB has flagged inflation and valuation risks, plus credit and liquidity risks
- By: James Langton
- November 17, 2021 November 17, 2021
- 16:36
Basel Committee proposes guidance on climate risks
Regulators seek principles-based approach to supervising banks
- By: James Langton
- November 17, 2021 November 17, 2021
- 14:28
SEC enforcement down again in 2021
Drop in public company cases follows turnover at the U.S. regulator, pandemic
- By: James Langton
- November 17, 2021 November 17, 2021
- 13:53
Pension savings safe from regulator’s reach, court rules
The B.C. Court of Appeal found that pension rules prevent the BCSC from seizing life income funds
- By: James Langton
- November 16, 2021 November 16, 2021
- 15:36
FSRA title regime to include “best interest” provision
The regulator is consulting on new title guidance until Dec. 13
- By: James Langton
- November 15, 2021 November 15, 2021
- 15:04
Combating threats in commodity derivatives
IOSCO is proposing revisions to 2011 oversight principles in that space
- By: James Langton
- November 15, 2021 November 15, 2021
- 14:56
SEC rejects Bitcoin ETF
Regulator continues to be concerned about market manipulation
- By: James Langton
- November 12, 2021 November 12, 2021
- 16:15