Market risks abound, Europe’s regulators warn
With economic uncertainty not reflected in asset valuations, market correction remains a threat
- By: James Langton
- March 31, 2021 March 31, 2021
- 15:26
Latest news in From the Regulators
FCA set to revise rules for SPACs
The U.K. regulator promises consultation on tougher investor protections, with aim to boost SPAC listings
- By: James Langton
- March 31, 2021 March 31, 2021
- 12:59
Driving privileges at risk for securities scofflaws in B.C.
The BCSC can block drivers' licences and plates for those who fail to pay regulatory sanctions
- By: James Langton
- March 31, 2021 March 31, 2021
- 12:33
Industry group recommends advice-focused SRO
A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection
- By: Melissa Shin
- March 31, 2021 August 8, 2022
- 10:01
Bankruptcy no escape hatch for regulatory sanctions, court rules
A court has found that penalties imposed by the BCSC should survive the bankruptcy process
- By: James Langton
- March 30, 2021 March 30, 2021
- 15:07
SEC sets new whistleblower record
Agency hands out its record-setting 40th financial award for an enforcement tip
- By: James Langton
- March 29, 2021 March 29, 2021
- 14:36
Finance Department sees issues with Facebook’s digital currency, documents show
Officials appeared less concerned about rivals like Bitcoin
- By: The Canadian Press
- March 29, 2021 March 29, 2021
- 13:53
OSC takes aim at crypto platforms
The regulator is giving firms until April 19 to reveal plans to comply with new guidance
- By: James Langton
- March 29, 2021 March 29, 2021
- 11:51
Bringing crypto-trading platforms to heel
A joint notice from IIROC and the CSA outlines plans to regulate the fledgling sector
- By: James Langton
- March 29, 2021 March 29, 2021
- 11:49
Crypto fraudsman hit with massive penalty
A U.S. court has sanctioned a British man for a Bitcoin trading scheme
- By: James Langton
- March 26, 2021 March 26, 2021
- 17:53
Fraudsmen seize upon surge in meme stocks
FINRA has observed a sharp increase in "instant funds" scams in the past two months
- By: James Langton
- March 26, 2021 March 26, 2021
- 16:24
After pandemic’s liquidity storm, possible fund reform
Various regulators are reviewing how funds fared during market stress, and whether rule changes are in order
- By: James Langton
- March 26, 2021 March 26, 2021
- 13:19
Former broker gets jail time for fraud
An advisor admitted to stealing millions from clients and evading his firm's anti-fraud measures
- By: James Langton
- March 25, 2021 March 25, 2021
- 17:56
ASC seeks new ways to connect start-ups with investors
The regulator has proposed a new mechanism to replace Northwestern exemption
- By: James Langton
- March 25, 2021 March 25, 2021
- 14:32
Ontario proposes new jobs training tax credit for 2021
The refundable credit would provide up to $2,000 against training costs
- By: Rudy Mezzetta
- March 24, 2021 March 24, 2021
- 16:15
Ontario moving ahead with expanded mandate for OSC
The provincial budget signals action on certain proposals from the modernization task force
- By: James Langton
- March 24, 2021 March 24, 2021
- 16:05
Novice investors who trade for fun may not appreciate the risks: FCA
It's all fun and games until someone loses their shirt
- By: James Langton
- March 23, 2021 March 23, 2021
- 17:47
CFTC sanctions crypto exchange for trade reporting violations
Coinbase distorted Bitcoin volume and liquidity data, said regulator
- By: James Langton
- March 22, 2021 March 22, 2021
- 15:34
Fed’s Powell: Public should understand risks of Bitcoin
There are risks and benefits to digital currencies, the Fed chair said
- By: Christopher Rugaber, The Associated Press, The Associated Press
- March 22, 2021 March 23, 2021
- 14:43
Conflicts, crypto, cyber risk: the year ahead in compliance
IIROC outlined the challenges for firms and regulators in a new report
- By: James Langton
- March 22, 2021 March 22, 2021
- 12:08
FSRA proposes guidance related to pension benefits upon marriage breakdown
The regulator has outlined its supervisory approach to pension settlements
- By: IE Staff
- March 19, 2021 March 19, 2021
- 14:13
U.S. recovery ‘far from complete,’ Powell says
Continued support from the Fed will be required
- By: Martin Crutsinger, The Associated Press
- March 19, 2021 March 19, 2021
- 13:49
Fed to restore stricter capital requirements for large banks
The requirements were relaxed as part of the Fed's efforts to shore up the financial system
- By: The Associated Press
- March 19, 2021 March 19, 2021
- 10:33
SEC alleges man sold insider trading tips on dark web
The regulator says anonymous online markets were used to traffic information used in illegal trading
- By: James Langton
- March 18, 2021 March 18, 2021
- 18:22