IIROC warns about risky ETFs in choppy markets
The SRO highlighted leveraged and inverse ETFs
- By: James Langton
- April 27, 2020 May 5, 2020
- 11:57
Latest news in From the Regulators
OSC prolongs halt to in-person hearings
The regulator has extended the ban indefinitely
- By: James Langton
- April 27, 2020 April 27, 2020
- 11:19
IIROC fields dozens of relief requests
The SRO is offering temporary relief to firms facing Covid-19 hardship
- By: James Langton
- April 24, 2020 April 24, 2020
- 16:22
SEC sets up Covid-19 surveillance group
The group is being chaired by the SEC's chief economist
- By: James Langton
- April 24, 2020 April 24, 2020
- 15:52
Laurentian Bank fined for inadequate trading supervision
Firm must pay $250,000 fine and costs
- By: IE Staff
- April 24, 2020 April 24, 2020
- 14:30
FAIR Canada requests relief for group RESP customers
Regulators must protect vulnerable Canadians, group says
- By: James Langton
- April 24, 2020 April 24, 2020
- 14:18
OSC, RCMP warn of coronavirus scams
Ontario investors are being approached with fraudulent claims
- By: IE Staff
- April 23, 2020 April 23, 2020
- 14:39
What advisors need to know about virtual onboarding
It's still possible to build your book during a pandemic
- By: Michelle Schriver
- April 23, 2020 April 23, 2020
- 11:46
BCSC sanctions founders, companies in failed insurance venture
Panel orders almost $37 million in disgorgement and penalties
- By: James Langton
- April 22, 2020 April 22, 2020
- 13:56
B.C. OKs electronic meetings
The provincial order overrides existing statutes and corporate by-laws
- By: James Langton
- April 22, 2020 April 22, 2020
- 13:11
CFTC sponsors innovation contest
Regulator seeks tools for sniffing out unregistered foreign firms
- By: James Langton
- April 21, 2020 April 21, 2020
- 14:53
Court denies rep’s wrongful dismissal claim
A B.C. court has ruled that a firm was justified in terminating the rep after he forged a client's signature
- By: James Langton
- April 21, 2020 April 21, 2020
- 14:18
SEC whistleblower gets US$5M award
The U.S. regulator has now paid over US$430 million for enforcement tips
- By: James Langton
- April 20, 2020 April 20, 2020
- 16:02
Madoff victims get payout
The victim fund is expected to eventually return over US$4 billion to investors
- By: James Langton
- April 20, 2020 April 20, 2020
- 15:46
Regulators boost mutual fund borrowing limits
The CSA doubles short-term borrowing limits to ensure funds can meet redemptions
- By: James Langton
- April 17, 2020 April 17, 2020
- 14:47
In a time of turmoil, a new top dog at the OSC
Grant Vingoe steps in as Maureen Jensen leaves the regulator
- By: James Langton
- April 17, 2020 April 17, 2020
- 14:19
OSC provides relief on late fees
Late fees incurred between April 17 and June 1 will be waived
- By: James Langton
- April 17, 2020 April 17, 2020
- 11:45
OSC reduces regulatory burden related to rep restrictions
The regulator sets out processes for lifting conditions, ending fund rep suspensions
- By: James Langton
- April 17, 2020 April 17, 2020
- 11:29
Former fund rep fined and banned
The ex-MFDA advisor admitted to misappropriating clients' funds and other improper dealings
- By: James Langton
- April 17, 2020 April 17, 2020
- 09:23
Transfer of oversight for syndicated mortgages pushed to 2021
Covid-19 has delayed the CSA's oversight regime
- By: James Langton
- April 16, 2020 April 16, 2020
- 12:18
Tipster gets US$27 million SEC award
The U.S. regulator has now paid out more than US$400 million to whistleblowers
- By: James Langton
- April 16, 2020 April 16, 2020
- 12:08
Regulators delay client-focused reforms
Conflict provisions have been delayed by six months, while disclosure has been pushed back by a year
- By: James Langton
- April 16, 2020 April 16, 2020
- 11:45
Europe stretches curbs on short-selling
Five European regulators extend short ban to May 18
- By: James Langton
- April 15, 2020 April 15, 2020
- 15:16
B.C. court denies bankruptcy discharge to securities-law violators
Pair owes $19 million to the BCSC over a market manipulation case
- By: James Langton
- April 15, 2020 April 15, 2020
- 15:00
IIROC gives dealers a breather on fees
SRO fees are being pushed back for small and mid-size firms, which represent 90% of investment dealers
- By: James Langton
- April 15, 2020 April 16, 2020
- 11:12