OSC seeks receiver for asset manager
Grant Thornton appointed to oversee Stableview amid regulator's concerns
- By: James Langton
- June 10, 2020 June 10, 2020
- 09:52
Latest news in From the Regulators
MFDA rejects IIROC merger overture
Fund industry SRO shoots down consolidation, reiterates call for overhaul
- By: James Langton
- June 9, 2020 June 9, 2020
- 20:09
IIROC pitches merger with MFDA
New paper promises huge payoff from SRO consolidation
- By: James Langton
- June 9, 2020 June 9, 2020
- 16:01
IOSCO names board despite AGM delay
General meeting postponed to November due to pandemic
- By: James Langton
- June 9, 2020 June 9, 2020
- 15:56
CFTC pays whistleblower $6 million
Rewards to tipsters now top $110 million
- By: James Langton
- June 9, 2020 June 9, 2020
- 15:51
Title regulation still a “key priority” for Ontario
Having regulations in place by 2021 is probably a “best case” scenario, says the CEO of FSRA
- By: Greg Dalgetty
- June 9, 2020 June 9, 2020
- 15:35
OSC seeks ban on fraudster
Scheme raised funds to finance diamond exploration
- By: James Langton
- June 9, 2020 June 9, 2020
- 13:38
E-signatures prevent pre-signed forms, but pose other risks
MFDA issues revised guidance on the use of electronic signatures
- By: James Langton
- June 8, 2020 June 8, 2020
- 14:17
CSA seeking input on CFR challenges
Regulators will use feedback to develop guidance
- By: James Langton
- June 8, 2020 June 8, 2020
- 12:48
IIROC offers relief for reps unable to write exams
Dealers and representatives face issues due to CSI exams being suspended
- By: James Langton
- June 5, 2020 June 5, 2020
- 17:04
U.S. regulator collects US$40 million in fines
SRO says top priority is returning money to harmed investors.
- By: James Langton
- June 5, 2020 June 5, 2020
- 15:46
Offshore firm using pandemic to drum up clients, MSC warns
Unregistered company offering trading in forex, CFDs
- By: James Langton
- June 4, 2020 June 4, 2020
- 16:10
Mining disclosure needs polish, CSA declares
Regulators review found miners' technical disclosure requires improvement
- By: James Langton
- June 4, 2020 June 4, 2020
- 13:40
SEC whistleblower award sets new record
Tipster takes home US$50 million, topping previous US$39 million record
- By: James Langton
- June 4, 2020 June 4, 2020
- 12:58
Shining a brighter light on bond markets
CSA rule changes aim to expand investor access to debt trading data
- By: James Langton
- June 4, 2020 June 4, 2020
- 12:46
CSA speeds access to capital
New rules for "at-the-market" distributions take effect Aug. 31
- By: James Langton
- June 4, 2020 June 4, 2020
- 11:46
Regulator rebuffs rep’s bid for retrial
The mutual fund representative said he didn't intend to admit to misconduct
- By: James Langton
- June 4, 2020 June 4, 2020
- 11:12
U.S. investor warned of Covid-19 relief scams
Fraudsters urging investors to buy new, risky investments, regulators say
- By: James Langton
- June 3, 2020 June 3, 2020
- 17:01
ESMA consults on outsourcing standards
Cybersecurity is a key issue, along with supervisory concerns
- By: James Langton
- June 3, 2020 June 3, 2020
- 15:07
CERB a favourite target for scammers
Fraud agency has received more than 1,000 reports of pandemic-related schemes
- By: James Langton
- June 2, 2020 June 2, 2020
- 14:18
MFDA seeks to speed up account transfers
The regulator issues a consultation paper on transfer challenges
- By: James Langton
- June 1, 2020 June 1, 2020
- 16:59
FCA bans offshore firms for fake celeb endorsements
Four Cyprus-based firms can no longer sell contracts for difference to U.K. investors
- By: James Langton
- June 1, 2020 June 1, 2020
- 16:39
Local lockdowns threaten U.S. banking system, regulator warns
Business restrictions and mask requirements pose an array of risks to banks, OCC says
- By: James Langton
- June 1, 2020 June 1, 2020
- 15:20
OSC revives postponed risk-rating exercise
Risk survey, originally planned for April, will now go ahead in June
- By: James Langton
- May 29, 2020 May 29, 2020
- 16:26
CSA extends filing relief for dealers
Firms get second 60-day extension due to Covid-19
- By: James Langton
- May 29, 2020 May 29, 2020
- 12:51