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
Latest news in From the Regulators
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
OSC rules IIROC can go ahead with online hearing
There is no evidence that video hearings are unfair, regulator rules
- By: James Langton
- March 18, 2021 March 18, 2021
- 16:55
Pump and dump ends in ban, over $1 million in penalties
ASC orders sanctions against two men for fraud scheme
- By: James Langton
- March 18, 2021 March 18, 2021
- 12:53
New CFTC unit to focus on climate risk
The regulator's initiative brings together expertise across the agency
- By: James Langton
- March 17, 2021 March 17, 2021
- 17:28
U.K. regulator to consider diversity requirements for public companies
In the financial sector, diversity helps firms respond to clients' needs, the Financial Conduct Authority said
- By: James Langton
- March 17, 2021 March 17, 2021
- 14:35
Risk of a market correction is high, regulators warn
The decoupling of financial markets from the economic recovery could spark a selloff, ESMA warns
- By: James Langton
- March 17, 2021 March 17, 2021
- 14:14
Ransomware attacks on the rise, IIROC warns
Prevention is the best approach to dealing with the issue, regulators say
- By: James Langton
- March 16, 2021 March 16, 2021
- 17:33
Fund rep fined, banned for misconduct
Panel sanctions rep for misappropriating client money and fabricating an account statement
- By: James Langton
- March 16, 2021 March 19, 2021
- 16:52
OSFI unwinds emergency pandemic relief measures
Temporary relief due to extreme volatility is no longer needed
- By: James Langton
- March 16, 2021 March 16, 2021
- 11:13
MFDA sees 18-month timeline to craft new SRO
The association delivered its proposed roadmap to inform a CSA decision due this summer
- By: James Langton
- March 16, 2021 March 16, 2021
- 11:04