AMF preaches calm, vigilance for investors
Investors shouldn't overreact to market turmoil or fall for fraudsters
- By: James Langton
- March 12, 2020 March 12, 2020
- 15:49
Latest news in From the Regulators
Facing jail time, Quebec man appeals conviction in securities case
The man was convicted of 17 securities law violations
- By: James Langton
- March 12, 2020 March 12, 2020
- 14:21
Nova Scotia bans life settlements
CLHIA applauds move aimed at protecting consumers
- March 11, 2020 March 11, 2020
- 17:26
Issuers must disclose Covid-19 impacts: ESMA
European regulators also called for financial firms to ready backup plans
- By: James Langton
- March 11, 2020 March 11, 2020
- 16:51
SEC reforms insurance investment disclosure
Regulator adopts mutual funds' "layered" disclosure model for insurance products
- By: James Langton
- March 11, 2020 March 11, 2020
- 16:44
OSC suspends capital deficient EMD
Firm failed to meet filing, solvency requirements
- By: James Langton
- March 11, 2020 March 11, 2020
- 16:44
Court orders BCSC investigation to be kept confidential
Disclosing details of investigation would pose risk to the public and those being investigated, court finds
- By: James Langton
- March 11, 2020 March 11, 2020
- 15:53
Regulators flexible in the face of emergency
Phone recording requirements are a key concern for home-bound workers
- By: James Langton
- March 11, 2020 March 11, 2020
- 12:06
FINRA boosts Treasury trading transparency
Industry began reporting Treasury trading to FINRA in 2017
- By: James Langton
- March 10, 2020 March 10, 2020
- 17:16
Australian regulator aims to address fee problems
Royal commission found clients charged for advice they never received
- By: James Langton
- March 10, 2020 March 10, 2020
- 15:28
OSC imposes permanent ban on Sam Bouji
Global RESP Corp. to surrender its registration in settlement of case that dates back to 2014
- By: Rudy Mezzetta
- March 10, 2020 March 10, 2020
- 12:53
BCSC gets enforcement power boost
New investigative tools and collection powers are on tap for the provincial regulator
- By: James Langton
- March 10, 2020 March 10, 2020
- 12:52
ESMA to enhance trade transparency, reporting
Consultation focuses on improving non-equity markets
- By: James Langton
- March 10, 2020 March 10, 2020
- 12:00
Regulators grappling with Covid-19 fallout
SROs and dealers are activating business continuity plans
- By: James Langton
- March 10, 2020 March 10, 2020
- 11:40
Lawyer, industry vet join OSC investor group
The new IAP members will serve two-year terms
- By: James Langton
- March 10, 2020 March 10, 2020
- 10:45
IIROC to give retail investors a louder voice
The SRO will set up an advisory group that represents the investor perspective
- By: James Langton
- March 10, 2020 March 10, 2020
- 09:09
MFDA calls for regional council volunteers
Council members sit on the SRO's disciplinary panels
- By: James Langton
- March 9, 2020 March 9, 2020
- 15:49
B.C. ponders regulating alt financial firms
The province is examining money laundering, consumer protection, solvency and systemic risks at MSBs
- By: James Langton
- March 9, 2020 March 9, 2020
- 11:42
FCA to examine the evolving market for trading data
Pricing, competition and emerging risks are the focus of the regulator's review
- By: James Langton
- March 9, 2020 March 9, 2020
- 11:32
U.S. CFPB proposes paying whistleblowers
Awards would be capped at US$10 million
- By: James Langton
- March 9, 2020 March 9, 2020
- 10:25
FSRA slashes industry guidance
New provincial regulator gets rid of the guidance developed by predecessors
- By: James Langton
- March 6, 2020 March 6, 2020
- 12:33
FCA ramping up climate disclosure rules
Issuers are being pushed to follow global standards, and financial firms will face tougher demands too
- By: James Langton
- March 6, 2020 March 6, 2020
- 12:10
Financial firms must search for meaning
FCA discussion paper examines the need for "purpose" at industry firms
- By: James Langton
- March 5, 2020 March 5, 2020
- 15:47
CSA seeks easier access to foreign alternative trading systems
Regulators adopt new framework for exempting foreign trading venues
- By: James Langton
- March 5, 2020 March 5, 2020
- 15:02
CSA to speed up prospectus reviews
Regulators make pre-filing reviews broadly available
- By: James Langton
- March 5, 2020 March 5, 2020
- 12:54