FINRA invests in enforcement tech
Board approves new enforcement system, proposes rule changes
- By: James Langton
- June 18, 2020 June 18, 2020
- 15:10
Latest news in From the Regulators
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
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
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