European regulators expand short bans
Italy enacts a three-month ban, while Spain adopts a one-month prohibition
- By: James Langton
- March 18, 2020 March 18, 2020
- 11:35
Latest news in From the Regulators
NASAA slams SEC proposal to expand exempt markets
The group says investors need greater protections and oversight in private offerings
- By: James Langton
- March 17, 2020 March 17, 2020
- 15:56
CFTC provides relief to enable social distancing
Requirements have been relaxed to enable firms to operate remotely
- By: James Langton
- March 17, 2020 March 17, 2020
- 15:30
Europe curbs short selling
France, Belgium and Italy impose temporary prohibitions
- By: James Langton
- March 17, 2020 March 17, 2020
- 10:32
OSC takes action to address outbreak
In-person hearings and compliance reviews have been postponed
- By: James Langton
- March 16, 2020 March 16, 2020
- 18:01
BIS staffer tests positive for Covid-19
Employees at the Bank for International Settlements are now working remotely
- By: James Langton
- March 16, 2020 March 16, 2020
- 16:15
Scammers still working amid market turmoil
The Nova Scotia Securities Commission warns investors about outbreak opportunists
- By: James Langton
- March 16, 2020 March 16, 2020
- 16:05
CSA girds for financial reporting disruptions
Regulators call on issuers to seek cease-trade orders
- By: James Langton
- March 16, 2020 March 16, 2020
- 12:03
ESMA steps up short surveillance
Enhanced monitoring of short positions a precaution amid volatile markets
- By: James Langton
- March 16, 2020 March 16, 2020
- 11:17
ASIC orders trading curbs
Surge in order volume prompts limits on large traders
- By: James Langton
- March 16, 2020 March 16, 2020
- 10:59
Florida man charged in financial firm flim-flam
Scammers purportedly posed as real reps to deceive investors
- By: James Langton
- March 13, 2020 March 16, 2020
- 17:33
OSFI bolsters stability, boosts lending
The regulator has cut the capital buffer and halted changes to the mortgage stress test
- By: James Langton
- March 13, 2020 March 16, 2020
- 17:31
Europe bans short-selling in troubled stocks
Regulators aim to calm markets by curbing downward pressure
- By: James Langton
- March 13, 2020 March 13, 2020
- 10:51
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
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