Money launderers are grappling with Covid-19, too
FINTRAC says pandemic is upending traditional money laundering
- By: James Langton
- July 16, 2020 July 16, 2020
- 17:45
Latest news in From the Regulators
OSC seeks voices for seniors
The deadline for applications to serve on the regulator's advisory committee is Sept. 11
- By: James Langton
- July 16, 2020 July 16, 2020
- 16:52
BCSC orders penalties in Ponzi scheme
Penalties and market bans handed down in $5 million fraud
- By: James Langton
- July 16, 2020 July 16, 2020
- 13:36
Digital sandboxes in the age of Covid-19
U.K.'s FCA to launch new testing environment for industry innovation
- By: James Langton
- July 16, 2020 July 16, 2020
- 11:43
Market exuberance could prove irrational
The economic recovery remains uncertain, the FSB warns
- By: James Langton
- July 15, 2020 July 15, 2020
- 15:45
Speak up on SRO reform, MFDA says
The self-regulatory organization calls on fund dealers to participate in policy consultations
- By: James Langton
- July 15, 2020 July 15, 2020
- 12:22
SEC pays US$3.8 million whistleblower award
Tip led to millions of dollars being returned to investors
- By: James Langton
- July 14, 2020 July 14, 2020
- 17:37
IIROC calls for advisory committee volunteers
Nominations for market reg and fixed-income committees due Aug. 21
- By: James Langton
- July 14, 2020 July 14, 2020
- 16:37
SEC charges Ontario pair
Firm allegedly sold stock based on false hype about its wind turbine technology
- By: James Langton
- July 14, 2020 July 14, 2020
- 16:10
Standard setters seek to enhance auditing
Report recommends reforms to the process for crafting audit standards
- By: James Langton
- July 14, 2020 July 14, 2020
- 13:52
Committee calls for collaboration on cross-border payments
A report lays out the economic benefits
- By: James Langton
- July 13, 2020 July 13, 2020
- 16:30
OSFI plans policy restart for fall
Federal financial regulator to consult on content and pace of policy plans
- By: James Langton
- July 13, 2020 July 13, 2020
- 16:23
Crypto app sanctioned for straying into swap trading
SEC and CTFC settle charges against app developer
- By: James Langton
- July 13, 2020 July 13, 2020
- 13:02
SEC seeks to cut fund manager reporting burden
Proposal would boost reporting threshold from US$100 million to US$3.5 billion
- July 10, 2020 July 10, 2020
- 17:11
FAIR Canada applauds Soliman report recommendations for OBSI
Ontario's capital markets task force recommends binding authority, higher compensation limits
- By: James Langton
- July 10, 2020 July 10, 2020
- 15:35
Open for business? Sure. DSC monkey business? No, thanks
Investors, industry pan the OSC's DSC preservation proposals
- By: James Langton
- July 10, 2020 July 10, 2020
- 15:11
More work needed to meet LIBOR deadline
Report from FSB, Basel Committee sets out recommendations for speeding transition
- By: James Langton
- July 9, 2020 July 9, 2020
- 15:57
FINRA wants heads up on firms’ crypto activities
The SRO calls on dealers to disclose any involvement with digital assets
- By: James Langton
- July 9, 2020 July 9, 2020
- 15:55
Ontario capital markets task force proposes big changes
Group suggests a transformation of OSC and SRO governance
- By: Rudy Mezzetta
- July 9, 2020 July 9, 2020
- 14:27
Quebec man pleads guilty to tax evasion charges
The resident of Laval was also fined almost $500,000
- By: IE Staff
- July 8, 2020 July 8, 2020
- 15:02
Wide range of IIROC dealers seek relief
The SRO staff's authority to rule on exemption applications has been extended
- By: James Langton
- July 8, 2020 July 8, 2020
- 12:14
Forex frauds on the rise
NSSC warns about a surge in scams on social media
- By: James Langton
- July 8, 2020 July 8, 2020
- 12:13
Deutsche Bank sanctioned over Epstein dealings
Regulators said the bank failed to detect the former financier's suspicious account activity
- By: James Langton
- July 7, 2020 July 7, 2020
- 17:19
Settlements bolster OSC collections from sanctions
The regulator collected 95% of sanctions in the last fiscal year, boosting its designated fund to $118.4 million
- By: James Langton
- July 6, 2020 July 6, 2020
- 16:09
Title regulation passes in Saskatchewan
The next step is developing rules for who can use "financial planner" and "financial advisor"
- By: Michelle Schriver
- July 6, 2020 July 9, 2020
- 12:44