Dealers say no to pulling all-nighters
IIAC voices firms' concerns with overnight derivatives trading
- By: James Langton
- October 8, 2020 October 8, 2020
- 15:17
Latest news in From the Regulators
Citi slapped over compliance, control failings
Bank hit with $400-million penalty from the U.S. federal banking regulator
- By: James Langton
- October 8, 2020 October 8, 2020
- 14:14
AMF strengthens compliance guidance
New guidance includes reforms adopted under Bill 141
- By: James Langton
- October 7, 2020 October 7, 2020
- 13:38
Fund managers invited into BoC backstop
Corporate bond market support being expanded to enhance efficacy
- By: James Langton
- October 7, 2020 October 7, 2020
- 13:37
Pandemic intensifies policymakers’ data needs
Covid-19 has disrupted global data efforts that began following the 2008 crisis
- By: James Langton
- October 7, 2020 October 7, 2020
- 11:32
Rep opposes shift to virtual enforcement
OSC to consider whether IIROC hearing can go electronic
- By: James Langton
- October 6, 2020 October 6, 2020
- 17:35
Covid-19 is new, but crisis-based scams are not
FINRA, NASAA warn investors about pandemic-driven investment frauds
- By: James Langton
- October 6, 2020 October 6, 2020
- 12:19
Record year for CFTC enforcement
The CFTC's enforcement chief is leaving the agency on Oct. 8 following a "historic" year
- By: James Langton
- October 6, 2020 October 6, 2020
- 11:21
FCA bans crypto derivatives
Valuation, volatility, and violation concerns underpin retail ban
- By: James Langton
- October 6, 2020 October 6, 2020
- 11:13
Former U.S. advisor gets 17 years in sin bin
Ex-NHL players among victims of numerous investment schemes
- By: James Langton
- October 5, 2020 October 5, 2020
- 17:59
FSRA demands disclosure for risky co-op offerings
The regulator wants enhanced disclosure from co-ops raising capital
- By: James Langton
- October 5, 2020 October 5, 2020
- 17:32
FCA seeks sandbox solutions to Covid-19 threats
The regulator has opened two efforts to support post-pandemic innovation
- By: James Langton
- October 5, 2020 October 5, 2020
- 13:25
CRA to withhold tax from new Covid-19 benefits
Unlike the CERB, new benefits will be subject to 10% tax at source
- By: Rudy Mezzetta
- October 5, 2020 October 5, 2020
- 11:57
FINRA seeks fee hike
SRO aims to boost annual revenues by US$225 million by 2024
- By: James Langton
- October 2, 2020 October 2, 2020
- 16:39
New charges in Ponzi scheme case
Third man charged by Toronto police in purported scam
- By: James Langton
- October 2, 2020 July 15, 2021
- 13:26
OSC seeking new members for registrant committee
The Registrant Advisory Committee provides industry input on the OSC's policy work
- By: James Langton
- October 2, 2020 October 2, 2020
- 13:23
Feds, provinces must coordinate on privacy: CLHIA
Industry group says added provincial rules not needed
- By: James Langton
- October 2, 2020 October 2, 2020
- 13:15
A record-breaking year for the SEC’s whistleblower program
Financial rewards totalled US$175 million in fiscal 2020
- By: James Langton
- October 1, 2020 October 1, 2020
- 16:57
U.S. authorities charge crypto exchange with AML violations
Firm allegedly made US$1 billion in fees while flouting U.S. laws
- By: James Langton
- October 1, 2020 October 1, 2020
- 13:54
FSRA tribunal contemplates in-person hearings
Ontario's Financial Services Tribunal launches a consultation on rules for proceedings
- By: James Langton
- October 1, 2020 October 1, 2020
- 12:24
OSC, IIROC call for tips on abusive shorts
Regulators seek whistleblower tips on short selling ahead of new offerings
- By: James Langton
- October 1, 2020 October 1, 2020
- 11:16
JP Morgan settles massive market manipulation case
Deal with regulators involves $920 million in sanctions and disgorgement
- By: James Langton
- September 29, 2020 September 29, 2020
- 13:56
OSC seeks small biz expertise
The committee will provide input on trends and policy impact on small firms
- By: James Langton
- September 29, 2020 September 29, 2020
- 13:26
With conduct rules looming, industry has work to do
CSA, SROs provide guidance on client-focused reforms requirements
- By: James Langton
- September 29, 2020 September 29, 2020
- 13:10
SEC rewards 100th tipster
Corporate outsider who alerted regulator to misconduct gets latest payout
- By: James Langton
- September 28, 2020 September 28, 2020
- 18:01