Latest news in From the Regulators

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

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

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

Metal handcuffs placed over the word fraud

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

Word Cloud with Risk Assessment related tags`

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

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

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

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

OSC settles with failed crypto miners

Settlement includes sanctions, disgorgement and market bans

By: James Langton
May 28, 2020 May 28, 2020
17:23

Businessman Blowing Whistle Isolated on White Background

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

outsourcing word on yellow roadsign on blue urban background

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