NASAA task force cracking down on Covid-related fraud
The umbrella group for North American securities regulators has identified 244 scams
- By: IE Staff
- August 21, 2020 August 21, 2020
- 13:15
Latest news in From the Regulators
CSA publishes new rules related to business acquisition reports
The amendments are aimed at reducing regulatory burden without comprising investor protection
- By: IE Staff
- August 20, 2020 August 20, 2020
- 13:40
Scotiabank to pay US$127.4M to settle spoofing and manipulation case
Between 2008 and 2016, the bank's traders manipulated prices, the CFTC says
- By: The Canadian Press
- August 19, 2020 August 19, 2020
- 14:49
MFDA fines firm $100K for supervisory failures
The inadequate supervision involved suitability, concentration in sector funds
- By: Michelle Schriver
- August 18, 2020 August 18, 2020
- 12:05
SIFMA sues SEC over Covid-19 relief measure
Trade group claims exemption is unfair to brokers, investors
- By: James Langton
- August 14, 2020 August 14, 2020
- 16:38
Police bust alleged Ponzi scheme
Project Cosmo uncovered multi-million fraud targeting Toronto's Filipino community
- By: James Langton
- August 14, 2020 August 14, 2020
- 14:35
FINRA flags fake website
SRO warns firms about phishing, malware risk
- By: James Langton
- August 13, 2020 August 13, 2020
- 12:39
FSRA sets proposed standards for planners, advisors
Regulator proposes minimum competency requirements for advisor, planner titles
- By: James Langton
- August 13, 2020 August 13, 2020
- 12:19
OSC sets conditions on fund manager
Regulator seeks to address concerns about client over-concentration
- By: James Langton
- August 11, 2020 August 11, 2020
- 15:03
Regulators must adapt to new liquidity drivers: IOSCO
New approaches to attracting liquidity need oversight too
- By: James Langton
- August 11, 2020 August 11, 2020
- 13:35
IIROC provides funding for investor legal aid
The SRO will offer five years of funding to the Osgoode Investor Protection Clinic
- By: James Langton
- August 11, 2020 August 11, 2020
- 11:37
Court appoints counsel for investors in PACE Securities wind-up
PACE Credit Union will propose a settlement for investors
- By: James Langton
- August 10, 2020 August 10, 2020
- 17:29
AMF seeks volunteers for advisory group on distribution
Two openings on distribution issues committee
- By: James Langton
- August 10, 2020 August 10, 2020
- 14:06
BIS names finalists in regtech hackathon
Competition received 128 entries, pared to 20 for final judging
- By: James Langton
- August 10, 2020 August 10, 2020
- 13:57
Fast-forward DSC ban, investor advocate urges
Kenmar calls on CSA to adopt DSC ban next March
- By: James Langton
- August 10, 2020 August 10, 2020
- 12:01
U.S. broker fined by SEC, CFTC and FINRA
Supervisory lapses allowed shady trading to go unchecked
- By: James Langton
- August 10, 2020 August 10, 2020
- 11:44
AMF seeks investment products expertise
The regulator calls for industry volunteers to join advisory group
- By: James Langton
- August 7, 2020 August 7, 2020
- 15:43
CSA allows Wealthsimple to test crypto platform
Firm gets go ahead to test regulated crypto trading in CSA sandbox
- By: James Langton
- August 7, 2020 August 7, 2020
- 13:15
IIROC sets virtual AGMs, provides hardship exemptions
IIROC to hold AGM via video conference in September
- By: James Langton
- August 7, 2020 August 7, 2020
- 11:39
Pandemic turns banks into preppers
Regulators' proposals aim to ensure banks can endure severe negative events
- By: James Langton
- August 6, 2020 August 6, 2020
- 14:39
CSA reforms syndicated mortgage rules
Regulators harmonize exemptions and enhance disclosure requirements
- By: James Langton
- August 6, 2020 August 6, 2020
- 11:31
PEAK settles with MFDA
Fund dealer admits to not fully investigating suspected rep misconduct
- By: James Langton
- August 5, 2020 August 5, 2020
- 17:42
SEC proposes fund reporting overhaul
The proposals seek a more investor-friendly approach to fund disclosure
- By: James Langton
- August 5, 2020 August 5, 2020
- 14:36
OSC seeks to ban securities fraudster
Regulator to hold hearing for Canadian serving time in U.S.
- By: James Langton
- August 5, 2020 August 5, 2020
- 13:49
Everyone lies online — just not in virtual hearings, please
OSC publishes guide for online proceedings
- By: James Langton
- August 5, 2020 August 5, 2020
- 12:48