Court denies rep’s wrongful dismissal claim
A B.C. court has ruled that a firm was justified in terminating the rep after he forged a client's signature
- By: James Langton
- April 21, 2020 April 21, 2020
- 14:18
Latest news in From the Regulators
SEC whistleblower gets US$5M award
The U.S. regulator has now paid over US$430 million for enforcement tips
- By: James Langton
- April 20, 2020 April 20, 2020
- 16:02
Madoff victims get payout
The victim fund is expected to eventually return over US$4 billion to investors
- By: James Langton
- April 20, 2020 April 20, 2020
- 15:46
Regulators boost mutual fund borrowing limits
The CSA doubles short-term borrowing limits to ensure funds can meet redemptions
- By: James Langton
- April 17, 2020 April 17, 2020
- 14:47
In a time of turmoil, a new top dog at the OSC
Grant Vingoe steps in as Maureen Jensen leaves the regulator
- By: James Langton
- April 17, 2020 April 17, 2020
- 14:19
OSC provides relief on late fees
Late fees incurred between April 17 and June 1 will be waived
- By: James Langton
- April 17, 2020 April 17, 2020
- 11:45
OSC reduces regulatory burden related to rep restrictions
The regulator sets out processes for lifting conditions, ending fund rep suspensions
- By: James Langton
- April 17, 2020 April 17, 2020
- 11:29
Former fund rep fined and banned
The ex-MFDA advisor admitted to misappropriating clients' funds and other improper dealings
- By: James Langton
- April 17, 2020 April 17, 2020
- 09:23
Transfer of oversight for syndicated mortgages pushed to 2021
Covid-19 has delayed the CSA's oversight regime
- By: James Langton
- April 16, 2020 April 16, 2020
- 12:18
Tipster gets US$27 million SEC award
The U.S. regulator has now paid out more than US$400 million to whistleblowers
- By: James Langton
- April 16, 2020 April 16, 2020
- 12:08
Regulators delay client-focused reforms
Conflict provisions have been delayed by six months, while disclosure has been pushed back by a year
- By: James Langton
- April 16, 2020 April 16, 2020
- 11:45
Europe stretches curbs on short-selling
Five European regulators extend short ban to May 18
- By: James Langton
- April 15, 2020 April 15, 2020
- 15:16
B.C. court denies bankruptcy discharge to securities-law violators
Pair owes $19 million to the BCSC over a market manipulation case
- By: James Langton
- April 15, 2020 April 15, 2020
- 15:00
IIROC gives dealers a breather on fees
SRO fees are being pushed back for small and mid-size firms, which represent 90% of investment dealers
- By: James Langton
- April 15, 2020 April 16, 2020
- 11:12
ASIC eases constraints on advice, but not oversight
Regulator takes steps to ease access to advice, but remains vigilant against misconduct
- By: James Langton
- April 14, 2020 April 14, 2020
- 13:21
FSB consults on crypto regulation
Group proposes principles for regulating risks that may arise from adoption of "global stablecoins"
- By: James Langton
- April 14, 2020 April 14, 2020
- 11:51
Tackling the greenwashing threat
IOSCO calls for more consistent, comparable ESG disclosure
- By: James Langton
- April 14, 2020 April 14, 2020
- 11:27
Pandemic puffery seeks to infect investors
Regulators warn about a promotion using snail mail to spread stock hype
- By: James Langton
- April 13, 2020 April 13, 2020
- 13:12
SEC beefs up market infrastructure standards
Agency extends enhanced requirements to all clearing firms
- By: James Langton
- April 13, 2020 April 13, 2020
- 11:17
EU regulators take patient approach to reporting deadlines
ESMA calls for leniency for fund managers, benchmarks and auditors
- By: James Langton
- April 9, 2020 April 9, 2020
- 15:23
Traders settle SEC hacking case
Insider trading scheme preyed on hack into SEC's filing database
- By: James Langton
- April 9, 2020 April 9, 2020
- 14:41
Canadian regulators refrain from curbing short-selling
CSA and IIROC report no signs of excessive short pressure
- By: James Langton
- April 9, 2020 April 9, 2020
- 14:29
OSFI relaxes capital rules for banks, insurers
The regulator is further easing the strain on financial institutions
- By: James Langton
- April 9, 2020 April 9, 2020
- 14:07
CSA pauses policy work
Regulators may provide further relief to industry, help for investors
- By: James Langton
- April 9, 2020 April 9, 2020
- 11:51
FCA aims to keep capital flowing
Regulator takes temporary steps to help companies find funding
- By: James Langton
- April 8, 2020 April 8, 2020
- 16:09