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
Latest news in From the Regulators
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
DSC ban coming in mid-2022
The OSC proposed a series of curbs on DSC sales that would take effect alongside the ban in the rest of the country
- By: James Langton
- February 20, 2020 February 20, 2020
- 11:29
Bahamian court rejects OSC’s bid to enforce $20M sanction
A Supreme Court judge has ruled the sanction was penal in nature, and therefore not enforceable in the Bahamas
- By: Greg Dalgetty
- February 19, 2020 February 19, 2020
- 16:18
Risks abound for retail investors
Nervous investors are socking away their savings in bank deposits, European regulators say
- By: James Langton
- February 19, 2020 February 19, 2020
- 15:48
Ponzi victims struggle for tax relief
An Alberta court aims to give wronged investors a hand in a tussle with the CRA
- By: James Langton
- February 19, 2020 February 19, 2020
- 15:44
SEC decodes ICO, rules tokens are securities
Blockchain company agrees to return money to investors, register digital assets
- By: James Langton
- February 19, 2020 February 19, 2020
- 14:01
CSA should review SROs from scratch, investor advocates say
A simple IIROC-MFDA merger won't fix investors' issues, Kenmar argues
- By: James Langton
- February 18, 2020 February 18, 2020
- 15:17
Banking regulator makes changes to stress test for mortgages
Finance department says change will allow minimum qualifying rate to be "more representative of rates offered by lenders"
- By: IE staff, with files from Canadian Press
- February 18, 2020 February 18, 2020
- 14:50