Hedge fund took the cream for itself, SEC finds
Firm to return US$170 million to investors in SEC settlement
- By: James Langton
- December 8, 2020 December 8, 2020
- 12:03
Latest news in From the Regulators
Big banks to hold capital buffers at 1.0%
OSFI maintains current capital cushions as risks remain elevated but stable
- By: James Langton
- December 8, 2020 December 8, 2020
- 10:50
After less than a quarter, the SEC is poised to set a whistleblower record
With almost US$170 million in awards so far, the regulator is nearing a new yearly high
- By: James Langton
- December 7, 2020 December 7, 2020
- 15:17
OSC’s oversight of syndicated mortgages delayed
Handover for mortgage investments from FSRA to OSC knocked to July
- By: James Langton
- December 7, 2020 December 7, 2020
- 14:42
SEC launches innovation office
The fintech unit has been given a higher profile as a standalone office reporting to directly to the SEC's chair
- By: James Langton
- December 4, 2020 December 4, 2020
- 12:51
OSC suspends exempt-market dealer
Working capital deficiency and other compliance issues led to suspension
- By: James Langton
- December 4, 2020 December 4, 2020
- 12:45
SEC charges Cheesecake Factory over Covid-19 disclosures
The firm was bleeding cash while publicly claiming operations were sustainable
- By: James Langton
- December 4, 2020 December 4, 2020
- 10:55
Market for advice improving, but slowly: FCA
There are more advisors — and more consumers receiving advice — following major reforms
- By: James Langton
- December 3, 2020 December 3, 2020
- 18:15
SEC to overhaul fund valuation rules
The regulator is introducing a new framework for ensuring that funds properly value their assets
- By: James Langton
- December 3, 2020 December 3, 2020
- 15:08
CSA tackles traders who “short and distort”
Regulators launch consultation on activist short seller phenomenon
- By: James Langton
- December 3, 2020 December 3, 2020
- 14:00
IOSCO examines market data issues
Consultation addresses growing demand for regulatory action on data access
- By: James Langton
- December 3, 2020 December 3, 2020
- 13:47
Why U.S. leaders must help push for ESG disclosure
The SEC's Allison Lee confronted concerns over "lagging" U.S. efforts in the last decade
- By: Katie Keir
- December 2, 2020 December 2, 2020
- 13:59
Liberals plan foreign buyers tax in bid to create affordable housing
The fiscal update said the feds plan to tax homeowners who use Canada to passively store wealth in housing
- By: Anita Balakrishnan
- December 1, 2020 December 1, 2020
- 16:58
The six million dollar tipsters
SEC rewards pair for tipping multiple agencies to suspected misconduct
- By: James Langton
- December 1, 2020 December 1, 2020
- 14:36
Former fund rep who admitted to fraud banned by MFDA
The permanent ban follows a jail term and restitution order
- By: James Langton
- December 1, 2020 December 1, 2020
- 10:38
U.S. LIBOR may live a little longer
U.S. regulators call on firms to stop using the benchmark by the end of 2021
- By: James Langton
- November 30, 2020 November 30, 2020
- 15:19
BIS backs banks using buffers to combat Covid-19 fallout
Global banking regulators aim to ensure a level playing field in the crisis response
- By: James Langton
- November 30, 2020 November 30, 2020
- 13:34
RCMP charges two in cross-border CRA scam
Police say Canadians have lost $18.4 million to CRA scams since 2014
- By: James Langton
- November 27, 2020 November 27, 2020
- 17:03
FSRA seeks to raise standards for mortgage brokers
Regulator proposes guidance on complying with national code
- By: James Langton
- November 27, 2020 November 27, 2020
- 14:43
FAIR Canada receives $3.75 million from OSC
Executive director says funding will provide stability for the organization
- By: Melissa Shin
- November 27, 2020 November 27, 2020
- 13:05
OSFI previews new capital rules for seg fund risk
New approach will end reliance on insurers' internal calculation models
- By: James Langton
- November 26, 2020 November 26, 2020
- 15:21
Crunch time for benchmark reform, CSA warns
CDOR, LIBOR facing changes in the year ahead
- By: James Langton
- November 26, 2020 November 26, 2020
- 14:33
Tougher capital rules for batches of bad loans
Basel Committee revises capital demands for non-performing loan securitizations
- By: James Langton
- November 26, 2020 November 26, 2020
- 13:26
Don’t sleep on looming client ID demands, IIROC says
New client identifier requirements for listed securities take effect in July 2021
- By: James Langton
- November 25, 2020 November 25, 2020
- 13:31
Financial stability increasingly shaky, ECB says
Rising corporate and sovereign debt levels are ramping up systemic risk
- By: James Langton
- November 25, 2020 November 25, 2020
- 13:11