U.S. regulators charge advisory firm and fund manager with breaches
Fund suffered massive losses amid risk management failures, SEC and CFTC allege
- By: James Langton
- January 27, 2020 January 27, 2020
- 16:41
Latest news in From the Regulators
Boosting the industry’s cyber defences
An SEC report details the results of thousands of compliance exams
- By: James Langton
- January 27, 2020 January 27, 2020
- 14:44
Accounting firm to pay $3.5 million for substandard audits of Crystal Wealth
A portion of the settlement agreement with the OSC will go to defrauded investors
- By: Greg Dalgetty
- January 24, 2020 January 24, 2020
- 15:56
MFDA sets compliance agenda for 2020
New compliance targets have emerged from the SRO's data analysis efforts
- By: James Langton
- January 23, 2020 January 23, 2020
- 15:49
Fraud tipsters help recover investor assets, SEC says
Whistleblowers "crucial" in protecting retail investors
- By: James Langton
- January 23, 2020 January 23, 2020
- 15:28
CSA ready for trading fee rebate study, but only if SEC follows
Pilot study would examine the effects of banning trading fee rebates
- By: James Langton
- January 23, 2020 January 23, 2020
- 12:05
Brokerage firm sanctioned for supervisory failures
Firm failed to question sales on risky exempt securities to certain clients
- By: James Langton
- January 23, 2020 January 23, 2020
- 11:16
Manitoba mortgage rep charged over alleged senior abuse
Elderly Winnipeg widow reportedly bilked by ex-securities rep
- By: James Langton
- January 23, 2020 January 23, 2020
- 11:11
FCA to scrutinize advice on retirement
The U.K. regulator remains concerned about scams and suitability in the retirement market
- By: James Langton
- January 21, 2020 January 21, 2020
- 16:46
NASAA names new general counsel
A former SEC and CFTC executive will be head of the group's legal division
- By: James Langton
- January 21, 2020 January 21, 2020
- 15:35
Maureen Jensen to step down from OSC
Grant Vingoe will take over as acting chair following Jensen's departure on April 15
- By: James Langton
- January 21, 2020 January 21, 2020
- 10:46
Bank of Canada exploring digital currency
Group of central banks to look at the function and use of digital dollars
- By: James Langton
- January 21, 2020 January 21, 2020
- 09:59
OSFI delays final post-crisis reforms
Revisions to operational risk capital requirements pushed to 2022
- By: James Langton
- January 20, 2020 January 20, 2020
- 16:59
Shadow banking dims, FSB reports
Total shadow banking assets have declined, with growth slowing sharply in the riskiest segments
- By: James Langton
- January 20, 2020 January 20, 2020
- 11:51
OSFI consults on liquidity rules for smaller institutions
The goal is to improve preparedness and resilience to financial risks and to ensure capital and liquidity rules remain appropriate for smaller organizations
- By: James Langton
- January 17, 2020 January 17, 2020
- 13:45
SEC charges Boaz Manor in alleged fraudulent ICO offering
U.S. regulator alleges convicted Portus co-founder used a fake identity to raise more than US$30 million from investors
- By: James Langton
- January 17, 2020 January 17, 2020
- 13:10
Regulators to focus on big projects
With the concept of a national regulator in limbo, the CSA plans to review the self-regulatory structure
- By: James Langton
- January 17, 2020 January 14, 2020
- 00:06
Former fund rep fined, banned by MFDA panel
Allegations include improper personal financial dealings and misleading investigators
- By: James Langton
- January 16, 2020 January 16, 2020
- 16:52
CSA provides guidance on crypto trading
Regulators set out when trading platforms are subject to securities law
- By: James Langton
- January 16, 2020 January 16, 2020
- 12:47
Hastening the demise of LIBOR
U.K. authorities set deadlines for move away from troubled benchmark
- By: James Langton
- January 16, 2020 January 16, 2020
- 11:20
It’s official: IOSCO recommends synchronizing watches
The group first proposed adopting UTC to enhance market oversight back in September
- By: James Langton
- January 16, 2020 January 16, 2020
- 10:57
MX sanctions Deutsche Bank for supervisory shortcomings
Firm gave employees trading access without approval
- By: James Langton
- January 15, 2020 January 15, 2020
- 15:55
Advisor fined $60K for due diligence failures
IIROC says the advisor failed to learn “essential facts” about a client
- By: Michelle Schriver
- January 15, 2020 January 15, 2020
- 14:46
SEC warns of new digital offerings
So-called IEOs may be rife with the same misconduct associated with ICOs
- By: James Langton
- January 14, 2020 January 14, 2020
- 15:11
Man charged with violating OSC order
The regulator alleges he breached an order imposed in a settlement agreement
- By: James Langton
- January 14, 2020 January 14, 2020
- 12:13