Making markets work better for investors
FCA consulting on improvements to retail investment markets
- By: James Langton
- September 16, 2020 September 16, 2020
- 09:40
Latest news in From the Regulators
OSC strikes down video hearing beef
The regulator has ruled an enforcement case can go ahead online amid Covid-19
- By: James Langton
- September 14, 2020 September 14, 2020
- 16:41
Persistence pays off for SEC tipster
Regulators reward extensive ongoing assistance
- By: James Langton
- September 14, 2020 September 14, 2020
- 13:44
Creeping closer to compliance
OSC report details improvement, along with persistent compliance issues
- By: James Langton
- September 14, 2020 September 14, 2020
- 13:13
U.S. Ponzi victims get money back
Court-appointed receiver recovered enough assets to return 100% of investor funds
- By: James Langton
- September 11, 2020 September 11, 2020
- 14:44
Legal “loophole” thwarts OSC investigation
An individual has been spared from testifying following a “very technical” interpretation of the Ontario Securities Act
- By: Greg Dalgetty
- September 11, 2020 September 11, 2020
- 09:34
The danger of senior investor swagger
U.S. research finds overconfident elders are susceptible to risky investing
- By: James Langton
- September 10, 2020 September 10, 2020
- 17:10
OSC tweaks exchange rules
The revisions aim to reduce redundant requirements on trading venues
- By: James Langton
- September 10, 2020 September 10, 2020
- 14:55
Closet indexing harms investors, study confirms
Investors face lower returns than with active funds, much higher costs than with passive funds
- By: James Langton
- September 10, 2020 September 10, 2020
- 13:16
FSRA fines real estate developer $250K
The unlicensed firm helped brokers raise over $900 million in syndicated mortgage loans
- By: IE Staff
- September 10, 2020 September 10, 2020
- 12:16
Industry calls for safe harbour protections to accompany vulnerable client rules
Comment letters to the CSA proposal lay out risks to the client-advisor relationship
- By: Michelle Schriver
- September 9, 2020 September 9, 2020
- 12:29
AMF seeks investors in crypto investigation
Regulator asks Opération Phoenix investors to contact investigators
- By: James Langton
- September 8, 2020 September 8, 2020
- 16:25
Investors would welcome toothier watchdogs
Respondents to a poll favoured enhanced oversight and comprehensive SRO reform
- By: James Langton
- September 8, 2020 September 8, 2020
- 15:45
When is a company operating as an investment fund?
An OSC hearing will consider whether a venture issuer should be regulated as a fund
- By: James Langton
- September 4, 2020 September 4, 2020
- 16:56
Fed admits stress test error
Tier 1 capital requirements for Goldman Sachs, Morgan Stanley affected
- By: James Langton
- September 4, 2020 September 4, 2020
- 13:13
Pair charged in alleged BMO, Simplii cyberattacks
RCMP investigations connected attacks against banks, retailer
- By: James Langton
- September 4, 2020 September 4, 2020
- 11:02
Former advisor heads to jail for fraud
Ex-rep sentenced to jail and ordered to repay firm
- By: James Langton
- September 3, 2020 September 3, 2020
- 16:57
Fund manager charged in fiduciary abuse flap
SEC, DoJ allege attempted bid rigging in Neiman Marcus bankruptcy
- By: James Langton
- September 3, 2020 September 3, 2020
- 16:51
CSA seeks changes to derivatives rules
Proposals would refine mandatory central clearing
- By: James Langton
- September 3, 2020 September 3, 2020
- 13:37
CSA rebuffs Ontario task force recommendations
Regulators warn against enforcement reforms, call on OSC to join passport system
- By: James Langton
- September 3, 2020 September 3, 2020
- 11:30
Canadians accused in global binary options scheme
U.S. CFTC charged trio already facing OSC allegations
- By: James Langton
- September 2, 2020 September 2, 2020
- 13:46
Markets remain fragile: ESMA
Regulators warn of financial markets detaching from economic reality
- By: James Langton
- September 2, 2020 September 2, 2020
- 11:10
Expanding enforcement bounties
Regulators adopt model act for tipster reward programs
- By: James Langton
- September 1, 2020 September 1, 2020
- 15:31
Ferreting out fraud in financials
SEC pays US$2.5 million for tip rooted in corporate filings
- By: James Langton
- September 1, 2020 September 1, 2020
- 13:32
Boosting bond market transparency
IIROC launches first phase of government debt reporting
- By: James Langton
- September 1, 2020 September 1, 2020
- 13:24