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
Latest news in From the Regulators
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
OSFI gearing up for a marathon recovery
The regulator is restarting policy work that was paused due to pandemic
- By: James Langton
- September 28, 2020 September 28, 2020
- 17:08
CFTC sues offshore crypto platform
U.S. regulator alleges the firm engaged in unregistered trading of digital, physical assets
- By: James Langton
- September 28, 2020 September 28, 2020
- 13:36
Financial stability risks remain, as Covid-19 returns
Rising infection rates and evolving government responses stoke uncertainty
- By: James Langton
- September 25, 2020 September 25, 2020
- 14:36
FSRA to examine seg funds, MGA channel
The regulator is launching a pair of advisory committees to inform policy-making
- By: James Langton
- September 25, 2020 September 25, 2020
- 13:32
CFTC, states allege massive fraud duped seniors
U.S. regulators bring landmark joint enforcement action
- By: James Langton
- September 25, 2020 September 25, 2020
- 11:56
FSRA consultation on service standards begins
The comment period closes on Oct. 23
- September 25, 2020 September 25, 2020
- 11:15
Panama Papers accountant gets three-year jail term
Charges stem from scheme to help clients evade U.S. taxes with offshore shells
- By: James Langton
- September 24, 2020 September 24, 2020
- 16:38
Quebec privacy bill gets pushback from IIAC
Industry group argues aspects of bill unworkable, unrealistic
- By: James Langton
- September 24, 2020 September 24, 2020
- 14:53
Standardizing banks’ ESG disclosure
Regulator's review to lead to more consistent disclosure, Moody's says
- By: James Langton
- September 24, 2020 September 24, 2020
- 13:56
State regulators step up enforcement
NASAA reports rise in regulatory investigations, actions
- By: James Langton
- September 23, 2020 September 23, 2020
- 17:21
SEC preserves enforcement bounty program
The U.S. regulator backs down from major changes to whistleblower rules
- By: James Langton
- September 23, 2020 September 23, 2020
- 15:12
IIROC chooses 2020-21 board members
Board has three new members
- By: IE Staff
- September 23, 2020 September 23, 2020
- 14:48
Canadians charged in alleged U.S. pump-and-dump bust
The trio faces criminal charges and SEC allegations
- By: James Langton
- September 23, 2020 September 23, 2020
- 12:19
Reunited — and it feels so good
FCNB consults on program to return lost money to rightful owners
- By: James Langton
- September 23, 2020 September 23, 2020
- 11:25
FCA consults on rules for foreign firms
Regulator preparing for influx of international registrations following Brexit
- By: James Langton
- September 23, 2020 September 23, 2020
- 11:14