FINRA flags fake website
SRO warns firms about phishing, malware risk
- By: James Langton
- August 13, 2020 August 13, 2020
- 12:39
Latest news in From the Regulators
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
IIROC gets clean sheet in CSA review
No issues found in targeted review of SRO's enforcement function
- By: James Langton
- August 5, 2020 August 5, 2020
- 11:49
Hackathon seeks ‘tradetech’ solutions
The tech competition aims to further trade finance innovation
- By: James Langton
- August 4, 2020 August 4, 2020
- 16:34
CFTC warns investors about Covid-19 relief schemes
Regulator warns against using relaxed rules to convert savings into precious metal investments
- By: James Langton
- August 4, 2020 August 4, 2020
- 16:18
Court rejects appeal of OSC’s decision in Quadrexx case
The regulator didn't make errors or deny fairness, the court finds
- By: James Langton
- August 4, 2020 August 4, 2020
- 16:07
OSC confirms all hearings will be remote until further notice
Office of the Secretary will make alternate arrangements for hearings up until December
- By: IE Staff
- July 31, 2020 July 31, 2020
- 15:47
OSC issues interim order on startup crowdfunding exemptions
The order was issued in response to the effects of Covid-19 on small businesses
- By: IE Staff
- July 30, 2020 July 30, 2020
- 15:24