Court green-lights PACE transfer plan
EY to take custody of troubled securities, allowing clients to move to new dealers
- By: James Langton
- June 22, 2020 June 22, 2020
- 11:41
Latest news in From the Regulators
Regulators extend relief into the fall and beyond
SEC to allow virtual fund meetings to 2021; MX compliance relief extends to Sept. 30
- By: James Langton
- June 19, 2020 June 19, 2020
- 15:46
Tipster gets SEC award
The whistleblower initially tried reporting internally
- By: James Langton
- June 19, 2020 June 19, 2020
- 13:55
AMF charges trio over PlexCoin virtual currency scheme
The defendants were previously ordered by a U.S. court to pay almost US$7M
- By: The Canadian Press
- June 19, 2020 June 19, 2020
- 13:47
Unsuitable leveraging results in fine, ban for ex-fund rep
SRO hearing panel ruled the former rep "completely untrustworthy"
- By: James Langton
- June 18, 2020 June 18, 2020
- 17:39
Covid-19 schemes and scams snowballing
Regulators see an ever-growing array of pandemic-related frauds
- By: James Langton
- June 18, 2020 June 18, 2020
- 16:18
FINRA invests in enforcement tech
Board approves new enforcement system, proposes rule changes
- By: James Langton
- June 18, 2020 June 18, 2020
- 15:10
IIROC alleges misconduct at PACE Securities
SRO files disciplinary charges as liquidator seeks to transfer clients' accounts
- By: James Langton
- June 18, 2020 June 22, 2020
- 14:51
Basel Committee urges banks to support growth
Global regulatory group says pandemic has entered a new phase
- By: James Langton
- June 17, 2020 June 17, 2020
- 16:05
Doug Steiner joins OSC’s new innovation office
Steiner has been appointed to the newly formed Office of Economic Growth and Innovation
- By: IE Staff
- June 17, 2020 June 17, 2020
- 14:53
Instinet sanctioned for lax trade supervision
IIROC noted concerns about firm's oversight of a direct access client
- By: James Langton
- June 17, 2020 June 17, 2020
- 13:24
Crypto firm exec pleads guilty to fraud
ICO raised more than US$25 million from investors based on false claims
- By: James Langton
- June 16, 2020 June 16, 2020
- 15:26
U.S. banks hold up in the face of Covid-19: FDIC
Earnings plunge, but bank fundamentals remain resilient
- By: James Langton
- June 16, 2020 June 16, 2020
- 13:44
Market volatility, social isolation driving Covid-19 fraud: NASAA
U.S. state regulators seek Congressional support in fight against fraudsters
- By: James Langton
- June 16, 2020 June 16, 2020
- 13:16
Fed to resume compliance exams
Exam activity was suspended in March due to Covid-19
- By: James Langton
- June 15, 2020 June 15, 2020
- 13:35
Bank of Canada launches revamped overnight benchmark
Move to transaction-based benchmark follows LIBOR scandal
- By: James Langton
- June 15, 2020 June 15, 2020
- 11:57
Longtime advisor fined, banned
Rep admitted to unapproved outside dealings with clients
- By: James Langton
- June 12, 2020 June 12, 2020
- 15:18
Toronto police file CERB fraud charges
Montreal woman accused of opening bank accounts to defraud Covid-19 relief program
- By: James Langton
- June 12, 2020 June 12, 2020
- 14:11
Canadians charged in alleged Covid-19 pump-and-dump
U.S. authorities allege illegal stock sale campaigns sought to exploit pandemic
- By: James Langton
- June 12, 2020 June 12, 2020
- 13:14
AMF invites industry to combat elder abuse
Regulator issues guide on detecting harm to seniors
- By: James Langton
- June 11, 2020 June 11, 2020
- 16:25
ESMA sustains short-selling vigilance
Stricter short-reporting requirements will extend through the summer
- By: James Langton
- June 11, 2020 June 11, 2020
- 13:42
QuadrigaCX was a Ponzi scheme, OSC investigation finds
Firm's deceased founder lost $169 million of client assets to trading, misappropriation
- By: James Langton
- June 11, 2020 June 11, 2020
- 12:42
CSA fintech sandbox expands to Taiwan
Regulatory co-operation agreement aims to facilitate international access for innovators
- By: James Langton
- June 11, 2020 June 11, 2020
- 11:36
CFTC extends Covid-19 relief
Measures set to expire June 30 extended to Sept. 30
- By: James Langton
- June 10, 2020 June 10, 2020
- 12:08
CSA relaxes approach to portfolio manager proficiency
Regulators draw line between client service, stock picking duties
- By: James Langton
- June 10, 2020 June 10, 2020
- 11:23