Montreal Exchange proposes rulebook reforms
Proposals include stiffer fines, along with measures to modernize oversight requirements
- By: James Langton
- May 25, 2021 May 25, 2021
- 18:02
Latest news in From the Regulators
IOSCO examines conflicts in debt markets
Regulators looking for conflicts in leveraged loan and CLO markets
- By: James Langton
- May 25, 2021 May 25, 2021
- 15:45
ESMA launches digital finance consultation
Regulator examines the new and added risks posed by tech-focused innovation in the financial sector
- By: James Langton
- May 25, 2021 May 25, 2021
- 12:55
OSC begins crypto crackdown
The regulator has brought its first enforcement case against an unregistered crypto firm
- By: James Langton
- May 25, 2021 May 25, 2021
- 12:51
FSRA’s costs heading higher
The provincial regulator has set out its priorities and budgets for the next three years
- By: James Langton
- May 21, 2021 May 21, 2021
- 14:09
Regulators propose slimming corporate disclosure
A CSA proposal out for a 120-day comment period aims to enhance the quality and cost of financial reporting
- By: James Langton
- May 20, 2021 May 20, 2021
- 11:50
SEC’s whistleblower payouts top US$900 million
The latest award came on a tip that led to multiple investigations and enforcement actions
- By: James Langton
- May 19, 2021 May 19, 2021
- 17:04
Retail trading surge on regulators’ radar, Vingoe says
Dealers' FX fees, capacity issues and online chatroom activity are all attracting the OSC's interest
- By: James Langton
- May 19, 2021 May 19, 2021
- 14:47
CSA to launch diversity consultations
Regulators will examine diversity efforts, with possible reforms in mind
- By: James Langton
- May 19, 2021 May 19, 2021
- 11:49
DoJ launches task force to tackle Covid-19 fraud
The group will investigate and prosecute efforts to defraud government relief programs
- By: James Langton
- May 18, 2021 May 18, 2021
- 17:16
Easing into new virtual currency reporting rules
FINTRAC's compliance exams won't start until April 2022
- By: James Langton
- May 18, 2021 May 18, 2021
- 14:57
NASAA approves model act for establishing restitution funds
The act would help governments provide financial help to victims of securities law violations
- By: James Langton
- May 18, 2021 May 18, 2021
- 14:50
Prospect of whistleblower riches causes friction
SEC orders joint payout to former tipster team who sought separate awards
- By: James Langton
- May 17, 2021 May 17, 2021
- 15:33
CSA warns of fake Fidelity scam
The scheme uses the fund company's logo, and falsely claims FCAC and CDIC protection
- By: James Langton
- May 17, 2021 May 17, 2021
- 15:16
S&P sanctioned over index snafu
The SEC alleged an undisclosed control feature led to stale index reporting
- By: James Langton
- May 17, 2021 May 17, 2021
- 13:12
Standards setting for accounting, auditing facing review
An independent committee will make recommendations to ensure independence and integrity of process
- By: James Langton
- May 14, 2021 May 14, 2021
- 16:03
Swiss insurer admits to enabling U.S. tax evasion
Company viewed increased U.S. enforcement against banks as a business opportunity, the DoJ said
- By: James Langton
- May 14, 2021 May 14, 2021
- 13:38
ASC sanctions violation of cease trade order
A hearing panel ordered a fine, costs and a market ban, but not disgorgement
- By: James Langton
- May 14, 2021 May 14, 2021
- 12:50
FCA seeks consumer duty standards
Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements
- By: James Langton
- May 14, 2021 May 14, 2021
- 11:28
IIROC drops expanded OBSI reporting proposal
Reporting changes will be rolled into a bigger project on complaints, investigations
- By: James Langton
- May 13, 2021 May 13, 2021
- 14:51
Steer clear of confused crypto platform: FCAA
The firm claims to be licensed by a regulator that doesn't exist
- By: James Langton
- May 13, 2021 May 13, 2021
- 12:22
As investors go online, criminals follow
Account takeover attempts are on the rise, FINRA warns
- By: James Langton
- May 12, 2021 May 12, 2021
- 16:41
SEC worries about Bitcoin mutual funds, ETFs
In a staff statement, the regulator stressed its concerns about liquidity, valuation, fraud and manipulation
- By: James Langton
- May 12, 2021 May 12, 2021
- 14:20
MFDA fines and bans former rep for misconduct
Improper personal financial dealings and a failure to cooperate led to the sanctions
- By: James Langton
- May 12, 2021 May 12, 2021
- 12:56
FSRA reviews 57 life agent reporting forms
About 40% were escalated for further investigation
- By: Michelle Schriver
- May 11, 2021 May 11, 2021
- 13:59