CSA to speed up prospectus reviews
Regulators make pre-filing reviews broadly available
- By: James Langton
- March 5, 2020 March 5, 2020
- 12:54
Latest news in From the Regulators
CSA recruits firms to fight elder fraud
Regulators propose measures to help firms protect vulnerable clients
- By: James Langton
- March 5, 2020 March 5, 2020
- 11:13
OSC settles questionable compensation case
Rep's role in circumventing prospectus restriction leads to sanction
- By: James Langton
- March 4, 2020 March 4, 2020
- 15:59
Securities regulators grappling with coronavirus
Both the U.K. and U.S. regulators have issued statements
- By: James Langton
- March 4, 2020 March 4, 2020
- 15:57
U.S. alleges pair laundered US$100 million in hacked Bitcoin
Stolen crypto was laundered through transactions to hide its source
- By: James Langton
- March 3, 2020 March 3, 2020
- 16:57
Foreign visitors face fraud charges
Police allege the pair scammed financial industry customers
- By: James Langton
- March 3, 2020 March 3, 2020
- 16:29
Elder fraud tops US$1 billion, U.S. authorities allege
Prosecutions for fraud against seniors reaches record levels
- By: James Langton
- March 3, 2020 March 3, 2020
- 12:59
Truth in fund names
The SEC seeks comment on rules that aim to prevent investor deception
- By: James Langton
- March 2, 2020 March 2, 2020
- 14:51
NASAA to offer female-focused investor education
The group of regulators is providing tools to address women's longer lifespans and the gender pay gap
- By: James Langton
- March 2, 2020 March 2, 2020
- 13:17
Wells Fargo sanctioned for risky ETF sales
The SEC found some reps recommended funds they didn't understand
- By: James Langton
- February 28, 2020 March 4, 2020
- 14:23
Fraud thrives in turbulent markets
Investors may be vulnerable to scams as volatility rises, FINRA warns
- By: James Langton
- February 28, 2020 February 28, 2020
- 14:21
Dogged tipster earns SEC payout
The SEC has now paid almost US$400 million to whistleblowers
- By: James Langton
- February 28, 2020 February 28, 2020
- 13:29
Court green-lights trailer fee class action against TD
An Ontario court certified the class action against TDAM over its funds paying trailers to discount brokers
- By: James Langton
- February 28, 2020 February 28, 2020
- 12:13
OSC and CPAB pledge cooperation
Securities and audit regulators are working together on oversight
- By: James Langton
- February 27, 2020 February 27, 2020
- 14:50
Circling the cybersecurity wagons
Europe's financial infrastructure has launched an effort to fight cyber crime
- By: James Langton
- February 27, 2020 February 27, 2020
- 12:41
CSA seeks to kickstart crowdfunding
Regulators propose harmonizing a little-used regime for start-ups
- By: James Langton
- February 27, 2020 February 27, 2020
- 12:06
Steven Seagal under siege by SEC
The actor has settled SEC charges involving his promotion of an ICO
- By: James Langton
- February 27, 2020 March 5, 2020
- 11:11
OSFI proposing revisions to insurers’ capital rules
The regulator aims to finalize rules by midyear
- By: James Langton
- February 26, 2020 February 26, 2020
- 15:46
NSSC sounds alarm
The regulator is warning investors about an unregistered online trading platform
- By: James Langton
- February 24, 2020 February 24, 2020
- 15:31
IIROC aims to add retail investor expertise to its board
The SRO has revised its criteria for independent directors
- By: James Langton
- February 24, 2020 February 24, 2020
- 11:19
Wells Fargo to pay US$3 billion in fake account scandal
SEC to return US$500 million to harmed investors
- By: James Langton
- February 21, 2020 February 21, 2020
- 16:44
Massachusetts adopts fiduciary standard
State rules follow the demise of the federal DOL standard
- By: James Langton
- February 21, 2020 February 21, 2020
- 12:40
BCSC orders money returned to fraud victims
Less than 10% of investor losses have been recovered
- By: James Langton
- February 21, 2020 February 21, 2020
- 10:55
FINRA examines the hidden costs of free trading
The SRO is reviewing the impact of zero commissions on order routing and disclosure
- By: James Langton
- February 20, 2020 February 20, 2020
- 15:56
LIBOR, innovation and shadow banking top FSB agenda
Global policy group highlights issues for G20
- By: James Langton
- February 20, 2020 February 20, 2020
- 13:04