Court orders trial to assess whether investor was misled
Investor's sophistication at issue in unregistered trading scheme
- By: James Langton
- January 18, 2021 January 18, 2021
- 15:50
Latest news in From the Regulators
Biden picks Chopra, Gensler for financial oversight roles
The choice for SEC chair signals a more activist role after a deregulatory stretch during the Trump administration
- By: The Associated Press
- January 18, 2021 January 18, 2021
- 14:53
Former Wells Fargo exec sanctioned
OCC penalizes ex-general counsel in sales practices scandal
- By: James Langton
- January 15, 2021 January 15, 2021
- 13:23
B.C. court approves class action settlement
Deal includes $2.4 million and cooperation with ongoing litigation
- By: James Langton
- January 15, 2021 January 15, 2021
- 13:05
IIROC drops rule proposals for identifying non-client accounts
Reforms developed for industry were rejected in a public consultation
- By: James Langton
- January 14, 2021 January 14, 2021
- 15:34
AMF sanctions Desjardins over fund sales practices
The regulator found the firm's compensation structure favoured in-house funds
- By: James Langton
- January 13, 2021 January 13, 2021
- 09:06
No dividend hikes, share buybacks for banks and insurers until lockdowns end: OSFI
Executive pay raises also remain on hold for now
- By: The Canadian Press
- January 11, 2021 January 11, 2021
- 14:20
FCA warns on promise of crypto riches
New registration requirements for U.K. crypto firms took effect Jan. 10
- By: James Langton
- January 11, 2021 January 11, 2021
- 13:01
OSFI embarks on climate risk consultation
Regulator ponders action to bolster industry's readiness to face warming world
- By: James Langton
- January 11, 2021 January 11, 2021
- 12:20
Deutsche Bank pays US$130M to settle U.S. charges
The DoJ and SEC settle with the bank for violations arising from separate bribery, fraud schemes
- By: James Langton
- January 8, 2021 January 8, 2021
- 16:57
MX extends pandemic relief to summer
Firms can continue to use alternative compliance approaches
- By: James Langton
- January 8, 2021 January 8, 2021
- 14:48
OSC names new RAC members
Committee provides regulator with feedback on compliance, policy issues
- By: James Langton
- January 8, 2021 January 8, 2021
- 11:52
Hacker gets 12 years for attacking U.S. banks, brokers
Sentence follows guilty plea on series of fraud, conspiracy charges
- By: James Langton
- January 7, 2021 January 7, 2021
- 16:57
Firms should report damage from SolarWinds hack: NASAA
Cybersecurity incident is having wide-ranging effects, based on industry alerts
- By: James Langton
- January 7, 2021 January 7, 2021
- 15:45
Diverse array of tipsters collect SEC payouts
Five whistleblowers share a combined US$1.1 million for enforcement tips
- By: James Langton
- January 7, 2021 January 7, 2021
- 15:21
OSC adds new faces to securities proceedings committee
Three join advisory committee for OSC's adjudicative role
- By: James Langton
- January 7, 2021 January 7, 2021
- 12:52
Thousands of UK financial firms face failure: FCA
Industry survey details pandemic fallout for financial sector
- By: James Langton
- January 7, 2021 January 7, 2021
- 12:32
Retail investor costs in EU regs’ crosshairs for 2021
ESMA will focus on fund costs in the year ahead
- By: James Langton
- January 6, 2021 January 6, 2021
- 12:07
IIROC details pandemic relief efforts
The SRO offered hardship exemptions from certain rules for much of 2020
- By: James Langton
- January 6, 2021 January 6, 2021
- 11:50
Court upholds BCSC freeze orders
Appeal court rules that regulator was right to allow orders issued in investigation
- By: James Langton
- January 5, 2021 January 5, 2021
- 14:15
Proposal deletes MFDA rules for limited trading authorization
The industry has standardized its LTA practices
- By: IE Staff
- December 29, 2020 December 29, 2020
- 11:44
FSRA takes common approach to treating insurance customers fairly
The regulator's guidance will harmonize practices from CCIR and CISRO
- By: IE Staff
- December 22, 2020 December 22, 2020
- 15:38
CRA promotes public database to track employers using wage subsidies
The agency has a separate webpage for people to report businesses who wrongfully claimed a subsidy
- By: The Canadian Press
- December 21, 2020 December 21, 2020
- 16:45
Ontario to begin province-wide lockdown on Boxing Day
No indoor public events or social gatherings will be allowed, except with members of the same household
- By: The Canadian Press
- December 21, 2020 December 21, 2020
- 14:39
Bloomberg pays $3.1 million to settle OSC case
Subsidiaries allowed institutional investors to trade before getting the regulator's approval
- By: James Langton
- December 18, 2020 December 18, 2020
- 16:01