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
Latest news in From the Regulators
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
OSC alleges fraud at Toronto fund manager
Firm ignored clients' investment limits to prop up failing penny stock, regulator alleges
- By: James Langton
- December 18, 2020 December 18, 2020
- 14:53
Whistleblower receives award despite involvement in fraud
SEC also awards whistleblower who initially tipped off their lawyer
- By: James Langton
- December 18, 2020 December 18, 2020
- 14:48
Hedge fund founders face OSC charges
The regulator alleges that the founders diverted money raised for the fund to other purposes
- By: James Langton
- December 18, 2020 December 18, 2020
- 11:00
Bond trader who duped clients avoids jail time
Former Nomura trader gets probation for 2017 conspiracy conviction
- By: James Langton
- December 18, 2020 December 18, 2020
- 08:43
IIROC to scrap fee premium for “risky” firms
Extra fees didn't do much to alter behaviour, the SRO found
- By: James Langton
- December 17, 2020 December 17, 2020
- 15:24
There really is no such thing as a free lunch, even with online trading
SEC says "free" trading cost customers US$34 million in poor pricing
- By: James Langton
- December 17, 2020 December 17, 2020
- 13:25
North American task force tackles pandemic scams
NASAA reports that regulators have uncovered 262 Covid-19 schemes
- By: James Langton
- December 17, 2020 December 17, 2020
- 13:06
FCA gives crypto firms an ultimatum
The U.K. regulator calls on investors to abandon firms that aren't already seeking registration
- By: James Langton
- December 16, 2020 December 16, 2020
- 15:01
Prior to the pandemic, shadow banking was surging
The sector now accounts for almost half of global financial assets
- By: James Langton
- December 16, 2020 December 16, 2020
- 14:51
OSC alleges Bloomberg subsidiaries operated without registration or exemption
The two firms failed to receive approval before providing institutional investors with trading access
- By: James Langton
- December 16, 2020 December 16, 2020
- 14:31
OSC stays SRO sanctions, pending review
Risk of harm to disciplined rep outweighs risk to public, regulator finds
- By: James Langton
- December 16, 2020 December 16, 2020
- 09:13