Extra time for financials, but high-quality disclosures needed: IOSCO
Investors need reliable, robust disclosure on Covid-19 effects, regulators say
- By: James Langton
- May 29, 2020 May 29, 2020
- 12:00
Latest news in From the Regulators
OSC settles with failed crypto miners
Settlement includes sanctions, disgorgement and market bans
- By: James Langton
- May 28, 2020 May 28, 2020
- 17:23
NASAA paves way for whistleblower awards
Proposed model act provides template for state whistleblower laws
- By: James Langton
- May 28, 2020 May 28, 2020
- 16:16
IOSCO proposes enhancing outsourcing oversight
Proposals aim to ensure security, operational resilience
- By: James Langton
- May 28, 2020 May 28, 2020
- 16:00
AMF enforcement leads to millions in fines, multiple jail sentences
Regulator promises vigilance during pandemic
- By: James Langton
- May 28, 2020 May 28, 2020
- 14:51
New directors nominated for IIROC’s board
The nominees have experience with senior and vulnerable investors
- By: IE Staff
- May 28, 2020 May 28, 2020
- 12:27
Pandemic no excuse for weaker investor protection: NASAA
State regulators warn against attempts to deregulate in response to Covid-19
- By: James Langton
- May 26, 2020 May 26, 2020
- 15:55
Financial sector braces for pandemic fallout
Global financial system has weathered Covid-19, but risks remain
- By: James Langton
- May 26, 2020 May 26, 2020
- 11:55
NSSC warns about unregistered crypto firm
Regulator cautions against shopping for investments online
- By: James Langton
- May 25, 2020 May 25, 2020
- 17:18
Banks’ capital built to weather Covid-19 crisis: EBA
European Banking Authority sees banks capable of absorbing pandemic fallout
- By: James Langton
- May 25, 2020 May 25, 2020
- 15:53
Corporations and trusts have longer to file tax returns, CRA says
Returns that would have been due in June, July or August can be filed by Sept. 1
- By: Rudy Mezzetta
- May 25, 2020 May 25, 2020
- 14:34
Two charged in alleged “advance fee” fraud case
Police suspect there were more victims in a scheme that promised class action payouts
- By: James Langton
- May 25, 2020 May 25, 2020
- 13:46
U.S. financial consumer complaints spike: CFPB
The agency reported an increase in consumer complaints as markets were roiled by Covid-19
- By: James Langton
- May 22, 2020 May 22, 2020
- 16:18
Commodity derivative investments pose unique risks, CFTC warns
Investors are venturing into commodity funds amid volatile markets, regulators report
- By: James Langton
- May 22, 2020 May 22, 2020
- 13:15
IIROC suspends PACE
Dealer firm consents to suspension by industry SRO
- By: James Langton
- May 21, 2020 May 22, 2020
- 15:28
Three strikes and you’re out, BCSC says
The regulator has banned a rep who forged a passing grade after thrice failing a proficiency course
- By: James Langton
- May 21, 2020 May 21, 2020
- 13:20
Regulators offer little relief for investors
CSA suggests investors turn to industry for assistance
- By: James Langton
- May 21, 2020 May 21, 2020
- 12:50
CSA extends filing relief
Regulators provide further extensions on filing deadlines
- By: James Langton
- May 20, 2020 May 20, 2020
- 15:31
IOSCO annual meeting moved to November
June conference postponed due to Covid-19
- By: James Langton
- May 20, 2020 May 20, 2020
- 13:32
IIROC seeks suspension of PACE Securities
Court ordered firm's windup, E&Y appointed liquidator
- By: James Langton
- May 19, 2020 May 19, 2020
- 17:24
Former fugitive pleads guilty to securities fraud
Accused fled to Canada in 2017 to escape U.S. justice
- By: James Langton
- May 19, 2020 May 19, 2020
- 15:36
SEC sanctions auditors for peeking on tests
Three former KPMG partners suspended for sharing answers to firm's exams
- By: James Langton
- May 19, 2020 May 19, 2020
- 13:43
As markets stabilize, short-selling curbs lifted
Various European markets scrap short-selling restrictions prompted by Covid-19
- By: James Langton
- May 19, 2020 May 19, 2020
- 12:13
Fraudster jailed following BCSC investigation
A pair of investors lost more than $500K
- By: IE Staff
- May 13, 2020 May 13, 2020
- 16:08
Pre-signed forms remain a problem area for MFDA
Almost half of the proceedings launched by the MFDA in 2019 involved allegations of pre-signed forms
- By: IE Staff
- May 12, 2020 May 12, 2020
- 15:57