SEC finds pervasive problems at U.S. robos
The regulator's reviews uncovered deficiencies at most firms examined
- By: James Langton
- November 12, 2021 November 12, 2021
- 12:44
Latest news in From the Regulators
Former fund industry exec convicted of fraud
Syndicated mortgage firms never invested clients' money, the court found
- By: James Langton
- November 11, 2021 November 11, 2021
- 14:52
Basel committee revises banks’ disclosure requirements
Updated rules for 2023 reflect latest market risk standards
- By: James Langton
- November 11, 2021 November 11, 2021
- 14:19
ASC adopts small biz finder’s exemption
The new measure will facilitate capital raising for startups in Alberta
- By: IE Staff
- November 10, 2021 November 10, 2021
- 16:38
Climate risk, crypto capital rules top Basel agenda
Global regulators to consult on supervisory principles
- By: James Langton
- November 9, 2021 November 9, 2021
- 16:10
OSFI launches consultations on tech and cyber risk guidelines
Guidelines are meant to support banks and insurers in developing greater resiliency
- By: The Canadian Press
- November 9, 2021 November 9, 2021
- 14:57
Autopilot OK for DC plans, says FSRA
New guidance confirms that auto-enrolment mechanisms are permitted
- By: James Langton
- November 8, 2021 November 8, 2021
- 15:03
Tackling the she-cession with financial literacy
New Brunswick regulator aims to address the particular financial challenges faced by women
- By: James Langton
- November 8, 2021 November 8, 2021
- 13:26
OSFI lets banks off capital leash
Curbs on dividends, buybacks were always intended to be temporary, OSFI says
- By: James Langton
- November 4, 2021 November 4, 2021
- 14:57
New conduct rules, same old conflicts: NASAA
U.S. firms continue to put their own interests ahead of clients' interests, regulators say
- By: James Langton
- November 4, 2021 November 10, 2021
- 14:55
Fraudsmen marry crypto scams with online dating, authorities warn
New tactics and techniques are used to identify and lure victims
- By: James Langton
- November 3, 2021 November 3, 2021
- 15:01
IOSCO endorses new global ESG standards push
Global securities regulators are likely to move ahead with new standards in 2022
- By: James Langton
- November 3, 2021 November 3, 2021
- 13:39
FCA launches consultation on ESG labeling
Regulator aims to have rules for investment industry by Q2 2022
- By: James Langton
- November 3, 2021 November 3, 2021
- 13:28
A call to arms on greenwashing
IOSCO makes recommendations to regulators on ESG issues
- By: James Langton
- November 2, 2021 November 2, 2021
- 16:01
MFDA funds investor legal aid clinic
The SRO is supporting Osgoode's investor service for two years
- By: James Langton
- November 2, 2021 November 2, 2021
- 14:46
Banks may get the go-ahead to boost shareholder returns
OSFI set to announce capital distribution plans on Nov. 4
- By: James Langton
- November 2, 2021 November 2, 2021
- 13:53
Do your research before investing: NSSC
The Nova Scotia Securities Commission warns of unregistered crypto platform luring investors
- By: James Langton
- November 1, 2021 November 1, 2021
- 16:11
CPP maximum pensionable earnings for 2022 announced
The CRA also updated the RRSP dollar limit
- By: IE Staff
- November 1, 2021 November 1, 2021
- 14:51
Tipster double dips on enforcement tip
Whistleblower gets extra US$2-million payout for tip that led to SEC and DoJ action
- By: James Langton
- October 29, 2021 October 29, 2021
- 14:47
MFDA releases continuing education details
The regulator provided guidance for advisors, dealers and education providers
- By: IE Staff
- October 29, 2021 October 29, 2021
- 14:44
ASIC urges crypto compliance
Regulator issues new guidance, licensing requirements for firms dealing in crypto investments
- By: James Langton
- October 29, 2021 October 29, 2021
- 14:29
IIROC panel sanctions rep for misappropriation
Rep sought to repay money with risky options trading
- By: James Langton
- October 29, 2021 October 29, 2021
- 09:30
BFI funds’ auditor resigns
PwC says KPMG stepped down as funds' auditor earlier this month
- By: James Langton
- October 28, 2021 December 23, 2021
- 17:33
U.K. regulators step up climate fight
The FCA plans in December to publish final rules setting disclosure requirements
- By: James Langton
- October 28, 2021 October 28, 2021
- 15:24
Social media can be hazardous to your financial health, regulator warns
ESMA issued a statement to investors, market manipulators about posting online
- By: James Langton
- October 28, 2021 October 28, 2021
- 15:01