Fund rep sanctioned over fake account scheme
The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank
- By: James Langton
- July 7, 2021 July 7, 2021
- 17:14
Latest news in From the Regulators
Regulators get serious about financial sector diversity
The CSA will hold consultations on enhancing diversity while the U.K. considers targets, pay links and enforcement
- By: James Langton
- July 7, 2021 July 7, 2021
- 14:53
Addressing climate risks in the financial sector requires coordinated effort: FSB
The global policy group is calling for greater coordination to enhance environmental risk disclosure
- By: James Langton
- July 7, 2021 July 7, 2021
- 14:03
Pay equity law to come into effect Aug. 31
The legislation is meant to help women get fair compensation from federally regulated employers
- By: Tara Deschamps, The Canadian Press
- July 7, 2021 July 7, 2021
- 13:43
When Covid-19 hit, the Basel III reforms paid off
Measures to boost banks' capital levels helped cushion the fallout from the pandemic
- By: James Langton
- July 6, 2021 July 6, 2021
- 15:50
As fund firms give themselves top marks, regulators cringe
An FCA review has found fund managers' self-assessments are sadly lacking
- By: James Langton
- July 6, 2021 July 6, 2021
- 15:15
FCA ponders dual-class shares in bid to boost listings
The regulator has proposed a set of reforms to enhance the appeal of going public
- By: James Langton
- July 6, 2021 July 6, 2021
- 14:58
The calm before the enforcement storm?
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
- By: James Langton
- July 6, 2021 July 6, 2021
- 14:42
OSFI consults on capital rules for crypto
The federal regulator is seeking feedback on the design of a prudential regime for digital assets
- By: James Langton
- July 5, 2021 July 5, 2021
- 16:24
IOSCO names new head
The regulator faces a long list of challenges ahead, including environmental and systemic risks
- By: James Langton
- July 5, 2021 July 5, 2021
- 12:15
Lack of NAV to leave Bridging Finance investors with hole in portfolios — for now
Some investors may see a zero on their June 30 statements
- By: James Langton
- June 30, 2021 December 23, 2021
- 17:30
Regulators’ new challenge: educating rookie investors
FINRA seeks input on reaching meme stock traders and other novices
- By: James Langton
- June 30, 2021 June 30, 2021
- 16:31
Aussies look to follow Canada’s lead on crypto funds
Australian regulators launch consultation on regulated crypto investment products
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:49
Time to tackle fund industry greenwashing: IOSCO
Proposals aim to combat investor protection issues arising in ESG investing
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:33
FSB consults on post-pandemic reforms
Proposals aim to address vulnerabilities revealed in the money market sector in March 2020
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:23
Ontario court rejects proposed class action against cannabis company
Stock price declines were attributable to Covid-19, not accounting errors
- By: James Langton
- June 30, 2021 June 30, 2021
- 15:14
Robinhood to pay US$70 million to settle FINRA accusations
The charges included hurting clients by giving misleading information and allowing risky trades
- By: The Associated Press
- June 30, 2021 June 30, 2021
- 12:09
SEC names NJ attorney general to head enforcement
Former prosecutor and current state attorney general Gurbir Grewal named to top post
- By: James Langton
- June 29, 2021 June 29, 2021
- 15:53
Compensation available to certain victims of decade-old fraud scheme
Investors who lost money in a case settled with regulators in 2010 are now entitled to make claims
- By: James Langton
- June 29, 2021 June 29, 2021
- 15:51
SEC sanctions trading platform for breach
After being acquired by JP Morgan, the firm gave up its registration but continued to provide services, the SEC alleged
- By: James Langton
- June 29, 2021 June 29, 2021
- 11:50
Fund rep sanctioned for stealing from bank customers
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
- By: James Langton
- June 29, 2021 June 29, 2021
- 08:58
Former Calgary advisor faces fraud charges
The RCMP alleges the former rep engaged in unauthorized trading and secret commissions
- By: James Langton
- June 28, 2021 June 28, 2021
- 16:39
Bulk of Bridging funds’ loans under review by PwC
The latest report to investors shows the majority of funds' assets have yet to be classified
- By: James Langton
- June 28, 2021 December 23, 2021
- 15:37
New Zealand regulators to influencers: #Dontgiveunregisteredfinancialadvice
Regulators issued a guidance directed at social media "finfluencers"
- By: James Langton
- June 28, 2021 June 28, 2021
- 11:53
Pair charged in global insider trading scheme
Traders allegedly paid for tips from investment bankers and corporate insiders
- By: James Langton
- June 25, 2021 June 25, 2021
- 16:55