OSC names chief of new growth-focused branch
The head of LaunchPad will lead the Office of Economic Growth and Innovation
- By: James Langton
- April 8, 2020 April 8, 2020
- 16:06
Latest news in From the Regulators
Global regulators all-in on pandemic perils
IOSCO shelving projects to focus on issues of volatility, liquidity and market stress
- By: James Langton
- April 8, 2020 April 8, 2020
- 15:19
SEC sanctions Cantor Fitzgerald for data failings
The firm admitted its failings and took action to repair its trade reporting
- By: James Langton
- April 7, 2020 April 7, 2020
- 16:03
SEC details compliance plans for new “best interest” standards
Initial compliance exams will focus on firms' commitment to adopting new requirements
- By: James Langton
- April 7, 2020 April 7, 2020
- 14:56
Retail investor returns crimped by high costs: ESMA
The regulator's research finds investment fund costs remain high
- By: James Langton
- April 7, 2020 April 7, 2020
- 11:53
Rep fined, suspended for misconduct
An IIROC panel found the rep engaged in improper personal financial dealings with a client and misled investigators
- By: James Langton
- April 7, 2020 April 7, 2020
- 11:43
Trading scams target pandemic’s economic casualties, CFTC warns
Frauds are now targeting newly desperate workers
- By: James Langton
- April 6, 2020 April 6, 2020
- 15:18
Expert analysis leads to OSC whistleblower award
The tipster spotted misconduct that led to enforcement action
- By: James Langton
- April 6, 2020 April 6, 2020
- 11:23
Don’t skimp on financial reporting, IOSCO says
Regulators stress the need for high-quality reporting in times of turmoil
- By: James Langton
- April 3, 2020 April 3, 2020
- 16:25
Derivatives margin requirements delayed
The final deadline for the post–financial crisis reform is pushed to 2022
- By: James Langton
- April 3, 2020 April 3, 2020
- 15:39
Another SEC tipster gets paid
The whistleblower shared "vital information" despite "implied threats" from wrongdoers
- By: James Langton
- April 3, 2020 April 3, 2020
- 15:00
Private markets a breeding ground for Covid-19 scams: NASAA
Fraudsters could exploit stock market turmoil, regulators warn
- By: James Langton
- April 3, 2020 April 3, 2020
- 15:00
Corporate disclosure needs work: ESMA
Regulators' reviews uncovered issues with both ESG disclosure and financial reporting
- By: James Langton
- April 2, 2020 April 2, 2020
- 16:06
Best interest standards on track for mid-2020: SEC
U.S. firms are expected to implement the new broker conduct requirements by June 30
- By: James Langton
- April 2, 2020 April 2, 2020
- 15:52
Elevated risks are here to stay: ESMA
Market rebounds may occur, but the risk will remain high
- By: James Langton
- April 2, 2020 April 2, 2020
- 13:12
ESMA votes no on commission ban — for now
Regulator recommends studying ban, beefing up disclosure
- By: James Langton
- April 1, 2020 April 1, 2020
- 13:35
FAIR Canada calls for comprehensive SRO review
Investor group says CSA must go deeper than an IIROC-MFDA merger review
- By: James Langton
- March 31, 2020 March 31, 2020
- 17:21
IIROC entertains broader relief for dealers
The SRO is prepared to grant temporary exemptions from several requirements
- By: James Langton
- March 31, 2020 March 31, 2020
- 16:05
Raising capital in a crisis
ASIC provides relief to facilitate "low doc" offerings
- By: James Langton
- March 31, 2020 March 31, 2020
- 12:41
NASAA sees scam surge on the way
Regulators expect an array of pandemic-driven frauds
- By: James Langton
- March 30, 2020 March 30, 2020
- 15:24
Dealers warned of spike in account hacking
IIROC reports that account intrusions are increasing
- By: James Langton
- March 30, 2020 March 30, 2020
- 13:07
After in-house reporting fails, tip to SEC pays off
Compliance whistleblower gets SEC award after internal reporting stumbles
- By: James Langton
- March 30, 2020 March 30, 2020
- 12:52
Final Basel III reforms delayed
Regulators agree to push back implementation of certain provisions for a year
- By: James Langton
- March 27, 2020 March 27, 2020
- 13:58
ESMA consults on leverage limits for alt funds
The consultation proposes regulatory guidance to address leverage risk in alternative funds
- By: James Langton
- March 27, 2020 March 27, 2020
- 12:47
FINRA issues cybersecurity alert
The SRO warns of increased cyberattacks as firms operate remotely
- By: James Langton
- March 26, 2020 March 26, 2020
- 16:40