Richardson GMP sanctioned over supervisory failures
Firm admitted to lapses in oversight involving two reps as well as its options trading system
- By: James Langton
- July 3, 2020 July 3, 2020
- 13:19
Latest news in From the Regulators
The Bank of Canada doesn’t need your account number
Central bank warns about fraudsters posing as employees
- By: James Langton
- July 3, 2020 July 3, 2020
- 11:07
Rep loses registration bid for keeping DUI charge secret
Despite being acquitted, failure to disclose charge thwarts registration
- By: James Langton
- July 2, 2020 November 1, 2021
- 17:15
Continue planning for LIBOR’s demise: FSB
Policy-makers call on industry to continue shift toward new benchmarks by the end of 2021
- By: James Langton
- July 2, 2020 July 2, 2020
- 15:44
CSA provides compliance flexibility
Guidance aims to allow more tailored setups for compliance officers
- By: James Langton
- July 2, 2020 July 2, 2020
- 13:08
Helping out harmed investors
NASAA aids states in developing victim assistance funds
- By: James Langton
- July 2, 2020 July 2, 2020
- 13:06
Fund dealer settles complaints-handling case
Firm has compensated clients, enhanced compliance
- By: James Langton
- July 2, 2020 July 2, 2020
- 10:16
Pilot to study trading-fee rebates scrapped
A court ruling against the SEC has implications for Canada
- By: Greg Dalgetty
- July 2, 2020 July 2, 2020
- 09:38
Court orders probation for trading ban violation
Woman pleaded guilty to violating BCSC prohibition
- By: James Langton
- June 30, 2020 June 30, 2020
- 15:59
Industry applauds, investors lament new “best interest” standards
Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct
- By: James Langton
- June 30, 2020 June 30, 2020
- 15:03
Crypto trading gaining popularity
FCA research finds sharp jump in consumers trading cryptoassets
- By: James Langton
- June 30, 2020 June 30, 2020
- 13:35
Ex-OSC chair joins FINRA board
Maureen Jensen will serve as a public governor for the U.S. SRO
- By: James Langton
- June 30, 2020 June 30, 2020
- 13:26
Regulators sticking to their plan
A ban on trailers for discounters, a stronger OBSI and protecting seniors remain priorities for the CSA
- By: James Langton
- June 30, 2020 June 30, 2020
- 12:54
IIROC conferences going virtual
SRO to consider a return to live events in 2021
- By: James Langton
- June 30, 2020 June 30, 2020
- 11:47
Big banks bolstered by reforms: FSB
Report finds "too big to fail" reforms made banks more resilient, easier to resolve
- By: James Langton
- June 29, 2020 June 29, 2020
- 16:39
U.K. group issues climate guide for financial firms
The Climate Financial Risk Forum's guide helps firms understand risks
- By: James Langton
- June 29, 2020 June 29, 2020
- 13:29
IIROC examines returning money to harmed investors
Proposal is one of several set out in SRO's priorities for the current year
- By: James Langton
- June 29, 2020 June 29, 2020
- 11:40
ICO issuer agrees to return over US$1 billion to investors
SEC settles with firm that sought to issue billions of digital assets
- By: James Langton
- June 26, 2020 June 26, 2020
- 16:51
Lobbyist, crypto CEO face U.S. fraud charges
Jack Abramoff charged for misleading investors in ICO
- By: James Langton
- June 25, 2020 June 25, 2020
- 17:13
Pandemic pauses regulators’ agendas
AMF defers new strategic plan to 2021, OSC looks to autumn consultation
- By: James Langton
- June 25, 2020 June 25, 2020
- 17:10
CSA kicks off SRO review
Examination of the self-regulatory framework runs until Oct. 23
- By: James Langton
- June 25, 2020 June 25, 2020
- 15:34
IOSCO guidance targets AI risks
Regulators propose measures for combating threats to clients, markets
- By: James Langton
- June 25, 2020 June 25, 2020
- 13:25
Investment scams are a spreading scourge: ASIC
Scam reports are up 20% during the pandemic, the Australian regulator warns
- By: James Langton
- June 24, 2020 June 24, 2020
- 15:49
SIFMA lauds SEC, DOJ tag team on data fees
Agencies to review competition in fees exchanges charge for market data
- By: James Langton
- June 23, 2020 June 23, 2020
- 18:04
FINRA executive dies
The SRO's head of market regulation, Tom Gira, died June 20
- By: James Langton
- June 23, 2020 June 23, 2020
- 16:24