MFDA bans rep for dealings with elderly mother
In decision, MFDA panel stresses need for sanctions that deter exploitation of vulnerable investors
- By: James Langton
- September 28, 2021 September 28, 2021
- 09:49
Latest news in From the Regulators
2nd top Fed official to retire in wake of trading activity
Robert Kaplan's resignation follows a similar announcement earlier Monday by Eric Rosengren
- By: Christopher Rugaber, The Associated Press
- September 27, 2021 September 27, 2021
- 17:35
Meme stock options fuelled trading scheme, SEC alleges
The regulator charged a trader for exploiting high volume to carry out a liquidity rebate scheme
- By: James Langton
- September 27, 2021 September 27, 2021
- 13:09
Unregulated financial sector AI poses risks: OECD
A report from the group calls for enhanced oversight of industry algorithms and technology
- By: James Langton
- September 24, 2021 September 24, 2021
- 14:36
Pump-and-dump schemes are now openly orchestrated on social media
Australian securities watchdog is calling on industry, investors to guard against online manipulations
- By: James Langton
- September 24, 2021 September 24, 2021
- 13:57
OSC announces IFTAC members for new term
There are 16 members of the committee
- By: IE Staff
- September 24, 2021 September 24, 2021
- 12:43
Former Wall Street analyst charged with front running
Thousands of small trades over five years generated millions in profits, SEC alleges
- By: James Langton
- September 23, 2021 September 23, 2021
- 16:43
Ex-OSC chief Maureen Jensen to helm OBSI
Jensen joined OBSI's board and is tapped to be the next chair
- By: James Langton
- September 23, 2021 September 23, 2021
- 15:48
IIROC drops charge against ex-Pace CCO
The SRO withdrew the allegation after settling with the firm's former head
- By: James Langton
- September 23, 2021 September 23, 2021
- 14:18
Crypto world fuelled by hype — and securities watchdogs aren’t amused
Marketing tactics by crypto firms are raising concerns with CSA and IIROC
- By: James Langton
- September 23, 2021 September 23, 2021
- 14:11
NSSC orders fraudsmen to pay nearly $2M
The pair was banned, and ordered to pay penalties, costs and disgorgement
- By: James Langton
- September 22, 2021 September 23, 2021
- 16:02
Agreeable personalties more vulnerable to fraudsters
New research uncovers some of the traits shared by investment scam victims
- By: James Langton
- September 22, 2021 September 22, 2021
- 14:49
Don’t shut banks out of the crypto space, trade groups argue
The Basel Committee's approach is too strict on regulated firms, the industry says
- By: James Langton
- September 22, 2021 September 22, 2021
- 14:35
Court rejects industry critic’s evidence in class action against TDAM
The Supreme Court of B.C. said an "unshakeable bias" against big banks has led to excluded evidence
- By: James Langton
- September 21, 2021 September 21, 2021
- 16:38
Many U.S. advisory firms lack vulnerable client policies
Shortcoming uncovered in state regulators' compliance reviews, NASAA reports
- By: James Langton
- September 21, 2021 September 21, 2021
- 15:24
SEC alleges crowdfunding violations
Platform charged along with scheme's alleged perpetrators
- By: James Langton
- September 20, 2021 September 20, 2021
- 16:25
Regulators bring diversity push in-house
North American body adopts diversity, inclusion policy
- By: James Langton
- September 20, 2021 September 20, 2021
- 13:39
Discretion proves better part of valour for advisor
Court finds no breach when advisor didn't "sell in May and go away"
- By: James Langton
- September 17, 2021 September 17, 2021
- 16:24
IIROC will host panel on inclusion for advisors
The online event on Oct. 13 will focus on diversity issues for frontline staff
- By: James Langton
- September 17, 2021 September 17, 2021
- 13:51
SEC settles with RBC unit over bond allocations
So-called bond flippers prioritized over retail, institutional clients, regulator alleged
- By: James Langton
- September 17, 2021 September 17, 2021
- 13:43
Madoff victims to see another payout
More than US$4 billion in total is expected to be returned to Madoff's investors
- By: James Langton
- September 17, 2021 September 17, 2021
- 10:13
PACE Securities CEO faces temporary ban after IIROC settlement
The settlement follows the firm's liquidation last year
- By: Michelle Schriver
- September 16, 2021 September 16, 2021
- 17:52
OSC grants critical benchmark status to CDOR
Regulatory oversight for benchmarks comes in response to the LIBOR scandal
- By: James Langton
- September 16, 2021 September 16, 2021
- 12:27
Maritime regulators kick off diversity discussion
The NSSC and FCNB published a consultation paper on possible governance reform
- By: James Langton
- September 16, 2021 September 16, 2021
- 10:22
SEC whistleblower payouts top US$1-billion mark
Agency pays near-record US$110 million to tipster
- By: James Langton
- September 15, 2021 September 15, 2021
- 16:02