Outlook cautious despite positive market signs
Investors’ optimism has contrasted with economic uncertainty
- By: Michelle Schriver
- May 1, 2020 May 1, 2020
- 14:58
Latest news in From the Regulators
MX consults on investigative powers
Proposals aim to ensure the investigative process is fair, transparent and efficient
- By: James Langton
- April 30, 2020 April 30, 2020
- 15:29
U.S. sanctions Israeli bank for offshore tax evasion
Bank Hapoalim to pay US$874 million under deferred prosecution agreement
- By: James Langton
- April 30, 2020 April 30, 2020
- 14:22
OSC hits pause on priorities
The regulator scraps its usual policy agenda consultation amid Covid-19
- By: James Langton
- April 30, 2020 April 30, 2020
- 12:09
MFDA panel bans rep, but sets modest fine
A hearing panel lacked the evidence to determine the severity of the misconduct
- By: James Langton
- April 30, 2020 April 29, 2020
- 09:00
CRA publishes updated FATCA, CRS guidance
The information-sharing deals are part of a global effort to combat offshore tax evasion
- By: Rudy Mezzetta
- April 29, 2020 April 29, 2020
- 16:09
Global policymakers to host hackathon
Competition will award cash prizes to winners in October
- By: James Langton
- April 29, 2020 April 29, 2020
- 13:44
Short-selling bans ineffective, ill-advised, research finds
Review of academic literature indicates that bans are counter-productive
- By: James Langton
- April 29, 2020 April 29, 2020
- 12:06
Regulatory task force to combat pandemic scams
State and provincial regulators aim to snuff out online Covid-19 schemes
- By: James Langton
- April 28, 2020 April 28, 2020
- 16:15
After internal reporting fails, tip to SEC pays off
SEC awards more than US$18 million in latest whistleblower case
- By: James Langton
- April 28, 2020 April 28, 2020
- 15:27
Firms strong-arming companies that need equity: FCA
U.K. regulator warns financial firms against tied selling to troubled companies
- By: James Langton
- April 28, 2020 April 28, 2020
- 14:18
Small U.S. firms grappling with cybersecurity issues: NASAA
State regulators' reviews of smaller advisory firms find persistent shortcomings in online security
- By: James Langton
- April 28, 2020 April 28, 2020
- 12:03
FSRA details licensing, CE extension for life agents
The extension applies to licences that expire between March 15 and June 30
- By: James Langton
- April 27, 2020 April 27, 2020
- 16:38
Canada’s fund regulation, taxation falling short for investors: Morningstar
Research points to inadequate conflicts regulation, among other shortcomings
- By: James Langton
- April 27, 2020 April 27, 2020
- 14:55
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
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