ASC rejects rep’s appeal of MFDA discipline
The SRO panel's ruling was reasonable, the regulator said
- By: James Langton
- February 3, 2021 February 3, 2021
- 14:55
Latest news in From the Regulators
MFDA begins sketching map to new SRO
The MFDA is working on an "implementation roadmap" for its vision for the future of self-regulation
- By: James Langton
- February 2, 2021 February 2, 2021
- 15:47
Out for justice: Alleged crypto fraudster charged
The DoJ and SEC allege a man duped investors and faked his own disappearance
- By: James Langton
- February 2, 2021 February 2, 2021
- 15:01
CSA, IIROC warn investors about relying on Reddit
Regulators pledge action against market manipulation
- By: James Langton, IE staff, with files from Canadian Press
- February 1, 2021 February 1, 2021
- 17:10
GameStop saga makes Wall Street an issue for Biden team
Short-selling and online trading platforms' business models are likely to receive scrutiny in Washington
- By: Marcy Gordon
- February 1, 2021 February 1, 2021
- 16:53
FINRA to focus on retail investors in its reviews this year
Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda
- By: James Langton
- February 1, 2021 February 1, 2021
- 16:49
SEC elevates ESG issues with new policy role
Regulator names exec to oversee its approach to climate risk
- By: James Langton
- February 1, 2021 February 1, 2021
- 15:29
CFTC charges trader with swap manipulation
Regulator says trader moved swap spreads to benefit bank at client's expense
- By: James Langton
- February 1, 2021 February 1, 2021
- 15:28
Investment firms, dealers face MiFID II review
Regulators to examine manufacturer, dealer compliance with new requirements
- By: James Langton
- February 1, 2021 February 1, 2021
- 13:02
New course eases fund reps’ access to alt funds
IFSE Institute launches new qualifying course for alt funds
- By: James Langton
- February 1, 2021 February 1, 2021
- 12:44
Wirecard scandal claims head of BaFin
The German regulator charged an employee with alleged insider trading
- By: James Langton
- January 29, 2021 January 29, 2021
- 15:41
Trading oversight must remain robust: MX
Trade supervision and surveillance are priorities for the year ahead
- By: James Langton
- January 29, 2021 January 29, 2021
- 15:00
Wall Street exec admits US$100-million fraud
The scheme involved mismarking, fake investments and Ponzi tactics
- By: James Langton
- January 28, 2021 January 28, 2021
- 18:09
TSX’s new-look closing session gets OSC blessing
The exchange plans to adopt revised closing rules and functionality in October
- By: James Langton
- January 28, 2021 January 28, 2021
- 17:57
Step up cybersecurity, AMF advises
Regulator calls on industry firms to "significantly" ramp up their vigilance
- By: James Langton
- January 28, 2021 January 28, 2021
- 15:26
CSA makes it easier for MFDA reps to access alts
Regulators expand list of qualifying courses to sell liquid alts
- By: James Langton
- January 28, 2021 January 28, 2021
- 12:21
FSRA founds advisory committee on pension sector
The group will review the regulatory environment for employment-based pensions
- By: James Langton
- January 27, 2021 January 27, 2021
- 17:06
Marketing company spun data into elder fraud, DoJ says
U.S. firm settles charges that it sold data to be used in fraudulent schemes
- By: James Langton
- January 27, 2021 January 27, 2021
- 16:59
FCA warns about attack of the clones
Investment firm imitators are a growing threat to investors, the U.K. regulator says
- By: James Langton
- January 27, 2021 January 27, 2021
- 12:59
IOSCO sets guidance on addressing investor complaints
Effective mechanisms would promote consumer confidence, the global regulators say
- By: James Langton
- January 27, 2021 January 27, 2021
- 12:36
Crypto investment funds sent false signals, U.S. authorities allege
CFTC, SDNY file charges in alleged Bitcoin Ponzi scheme
- By: James Langton
- January 26, 2021 January 26, 2021
- 17:40
Court denies appeal in client overcharging case
A former TD Bank compliance officer's unusual legal action has been rejected again
- By: James Langton
- January 22, 2021 January 22, 2021
- 16:52
Misleading news releases about pot sector draw regulator’s ire
Ex-CEO sanctioned for trading after issuing misleading press releases
- By: James Langton
- January 22, 2021 January 22, 2021
- 16:11