EU regulators move to standardize ESG disclosures
The bloc is consulting on a template for a wide range of financial products
- By: James Langton
- September 21, 2020 September 21, 2020
- 11:57
Latest news in From the Regulators
Money for nothing, fees for free: IOSCO addresses debt conflicts
The organization published guidance on conflicts in debt underwriting
- By: James Langton
- September 21, 2020 September 21, 2020
- 11:48
Going public in the U.K.? For pot companies, it’s complicated
The FCA issues guidance on public listings by cannabis companies
- By: James Langton
- September 18, 2020 September 18, 2020
- 15:08
Avoiding fund redemption nightmares
CSA issues guidance for fund managers on liquidity risk
- By: James Langton
- September 18, 2020 September 18, 2020
- 13:03
Cyberfraud fighter engaged in conventional con, U.S. authorities allege
Co-founder of cyberfraud prevention firm falsified financials, SEC says
- By: James Langton
- September 17, 2020 September 17, 2020
- 15:41
CSA seeks revisions to OM disclosure
Proposals aim to clarify issuer requirements, bolster investor insight
- By: James Langton
- September 17, 2020 September 17, 2020
- 14:12
PEAK settles overcharging, supervisory allegations
The firm reported that clients had paid trailers on fee-based accounts
- By: James Langton
- September 17, 2020 September 17, 2020
- 11:13
CRA says U.S. Covid-19 payments not taxable in Canada
Americans in Canada who received U.S. payments won't need to include amounts in income
- By: Rudy Mezzetta
- September 16, 2020 February 26, 2021
- 15:26
NSSC rejects rep’s bid to stay disciplinary action
Rep sought halt of nine-month suspension, pending review of IIROC ruling
- By: James Langton
- September 16, 2020 September 16, 2020
- 12:53
OSFI to examine rising tech risks
Financial sector's growing tech dependence prompts review
- By: James Langton
- September 16, 2020 September 16, 2020
- 10:20
Tackling the post-pandemic debt load
Bank of Canada launches consultation on government debt strategy
- By: James Langton
- September 16, 2020 September 16, 2020
- 10:09
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
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