Investment schemes violated rules, NSSC finds
A written hearing will be held to set sanctions in the case
- By: James Langton
- August 25, 2021 September 21, 2021
- 13:09
Latest news in From the Regulators
CSA to host roundtable that tackles greenwashing
A virtual panel will examine a range of regulatory issues driven by the rise of ESG investing
- By: James Langton
- August 25, 2021 August 25, 2021
- 13:01
Groups call for KYC to go beyond minimum standards
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
- By: James Langton
- August 23, 2021 August 23, 2021
- 14:37
Coinberry gets relief from OSC to trade crypto
The ruling includes investment limits, disclosure rules and regulatory reporting conditions
- By: James Langton
- August 20, 2021 August 20, 2021
- 13:46
Make responsible investing part of KYC, suitability, RIA says
The Responsible Investment Association suggested revisions to proposed regulatory amendments
- By: Michelle Schriver
- August 19, 2021 August 19, 2021
- 15:12
SEC opens access to financial data
The U.S. regulator released APIs for annual and quarterly filings
- By: James Langton
- August 19, 2021 August 19, 2021
- 15:10
ASC sanctions pair in market manipulation scheme
A regulatory hearing panel handed down market bans and monetary penalties
- By: James Langton
- August 18, 2021 August 18, 2021
- 14:58
Launching a robo? Better let IIROC know
The SRO clarifies when material changes must be reported
- By: James Langton
- August 18, 2021 August 18, 2021
- 11:16
SEC settles with Canadian adviser for short-selling violations
A broker failed to mark trades as short based on bad information from the adviser
- By: James Langton
- August 17, 2021 August 18, 2021
- 16:31
Counsel sought for BFI investors
Receiver to seek extension for advisory committees, approval for process to find investor counsel
- By: James Langton
- August 17, 2021 December 23, 2021
- 15:29
Cloud computing transforming brokerage industry, report says
Technology presents opportunities as well as challenges for firms, FINRA said
- By: James Langton
- August 16, 2021 August 16, 2021
- 15:32
ASC finds inventor defrauded investors
Funds raised ostensibly for a dental drill were diverted for personal use
- By: James Langton
- August 16, 2021 August 16, 2021
- 14:59
OSFI steps up demands for cyber reporting
Financial firms are now required to report incidents within 24 hours
- By: James Langton
- August 13, 2021 August 13, 2021
- 15:21
BFI investors may soon get legal help
Judge asks PwC to provide input on counsel for investors
- By: James Langton
- August 13, 2021 December 23, 2021
- 13:21
As markets stabilize, OSFI allows leverage relief to expire
Regulator unwinds temporary measures as uncertainty subsides
- By: James Langton
- August 12, 2021 August 12, 2021
- 17:22
Proposed fund dealer class action fails again
B.C. court dismisses appeal in "enhanced compensation" case
- By: James Langton
- August 12, 2021 August 12, 2021
- 14:24
ETFs passed their Covid-19 test, regulators find
ETFs proved resilient in the face of exceptional market volatility, IOSCO says
- By: James Langton
- August 12, 2021 August 12, 2021
- 14:16
Fiera reports Q2 profit as assets grow
AUM reached $179.5 billion, up 4% from the previous quarter
- By: IE Staff
- August 12, 2021 August 12, 2021
- 11:21
U.S. regulators reach US$100-million deal with crypto platform
BitMEX settles with CFTC, U.S. Treasury for registration and anti-money-laundering violations
- August 10, 2021 August 10, 2021
- 15:57
Shining more sunlight on FSRA’s enforcement efforts
Regulator proposes guidance on enhancing enforcement transparency
- By: James Langton
- August 10, 2021 August 10, 2021
- 14:43
CFRs, crypto, online advice top OSC’s compliance agenda
Annual report from OSC compliance branch signals exam targets for the year ahead
- By: James Langton
- August 10, 2021 August 10, 2021
- 13:44
Advisor title regulation on tap for New Brunswick
FCNB launches consultation to address investor confusion surrounding industry titles
- By: James Langton
- August 10, 2021 September 21, 2021
- 11:22
AMF shuts down crypto charity scheme
Regulator secures orders against crypto promoters
- By: James Langton
- August 9, 2021 August 9, 2021
- 17:54
SEC commissioner decries poor guidance, enforcement in crypto space
A popular trading platform has settled allegations that it violated rules as an unregistered exchange
- By: James Langton
- August 9, 2021 August 9, 2021
- 16:12
Court approves Bridging Finance sale process
PwC will hold a two-stage sale for the fund manager and its assets
- By: James Langton
- August 9, 2021 December 23, 2021
- 15:59