Latest news in From the Regulators

Former fugitive pleads guilty to securities fraud

SEC sanctions auditors for peeking on tests article image School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

SEC sanctions auditors for peeking on tests

As markets stabilize, short-selling curbs lifted

Fraudster jailed following BCSC investigation article image Metal handcuffs placed over the word fraud

Fraudster jailed following BCSC investigation

  • By: IE Staff
  • May 13, 2020 May 13, 2020
  • 16:08
Pre-signed forms remain a problem area for MFDA article image Signing contract form

Pre-signed forms remain a problem area for MFDA

  • By: IE Staff
  • May 12, 2020 May 12, 2020
  • 15:57
IIROC hit firms with nearly $2M in sanctions in 2019 article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

IIROC hit firms with nearly $2M in sanctions in 2019

  • By: IE Staff
  • May 11, 2020 May 11, 2020
  • 14:48

Rep who allegedly borrowed from clients banned by MFDA

  • By: IE Staff
  • May 8, 2020 May 8, 2020
  • 15:12
IIROC bans former advisor for 5 years for trades based on undisclosed info article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

IIROC bans former advisor for 5 years for trades based on undisclosed info

  • By: IE Staff
  • May 7, 2020 May 7, 2020
  • 16:37

Complaint-handling shouldn’t suffer due to Covid-19

AMF now oversees mortgage brokers article image Miniature House on A Financial Graph

AMF now oversees mortgage brokers

CSA gives issuers relief on AGM disclosure

Outlook cautious despite positive market signs article image Illustration and Painting

Outlook cautious despite positive market signs

MX consults on investigative powers

U.S. sanctions Israeli bank for offshore tax evasion

OSC hits pause on priorities

MFDA panel bans rep, but sets modest fine

CRA publishes updated FATCA, CRS guidance

Global policymakers to host hackathon

Short-selling bans ineffective, ill-advised, research finds

Regulatory task force to combat pandemic scams article image Shocked middle aged mature woman feeling stressed reading unbelievable online news, surprised senior old lady looking at laptop amazed by unexpected stuck computer problem sit on sofa at home (Shocked middle aged mature woman feeling stressed reading

Regulatory task force to combat pandemic scams

After internal reporting fails, tip to SEC pays off

Firms strong-arming companies that need equity: FCA

Small U.S. firms grappling with cybersecurity issues: NASAA

FSRA details licensing, CE extension for life agents

Canada’s fund regulation, taxation falling short for investors: Morningstar