Retail investors taking too much risk: FCA
The search for higher returns is leading investors to fraudulent or unsuitable products
- By: James Langton
- February 18, 2020 February 18, 2020
- 13:50
Latest news in From the Regulators
RCMP brings charges for CRA scams
So-called CRA scams cost an estimated $16.8 million over the past five years
- By: James Langton
- February 18, 2020 February 18, 2020
- 12:09
Ex-hedge fund founder sentenced for fraud
The fund manager lied about his background to lure investors
- By: James Langton
- February 14, 2020 February 14, 2020
- 16:55
IIROC calls for district council volunteers
Nominations due March 16
- By: James Langton
- February 14, 2020 February 14, 2020
- 16:37
Alberta man facing fraud charges
The man is alleged to have "fraudulently raised" more than $2 million from 11 investors
- By: James Langton
- February 14, 2020 February 14, 2020
- 12:42
Beefing up benchmark regulation
ESMA makes recommendations for a new oversight regime
- By: James Langton
- February 14, 2020 February 14, 2020
- 11:25
Man charged for laundering US$300M in Bitcoin
The alleged money laundering service, Helix, served Darknet criminals
- By: James Langton
- February 13, 2020 February 13, 2020
- 16:43
Nasdaq CXC gains market share in Canada
Nasdaq moves ahead of TSX Venture Exchange
- By: James Langton
- February 13, 2020 February 13, 2020
- 14:13
CSA revises rule governing issuers’ alternative disclosure
Regulators say requirements will reduce burdens on issuers and investors
- By: James Langton
- February 13, 2020 February 13, 2020
- 12:52
“Fraudsman” sentenced to 12 years in $54-million Ponzi scheme
An Ontario court called the serial fraudster "incorrigible"
- By: James Langton
- February 12, 2020 February 12, 2020
- 15:41
Regulators grapple with crypto trading
An IOSCO report highlights crypto trading issues, but stops short of setting standards
- By: James Langton
- February 12, 2020 February 12, 2020
- 12:07
Transition risk is the main threat from climate change: OSFI
The economic impact of the transition to a low-carbon economy may be "sharply negative, at least for some time"
- By: James Langton
- February 11, 2020 February 11, 2020
- 16:21
Reports of senior financial abuse rising: NASAA
Regulators' efforts to prevent abuse are gaining traction
- By: James Langton
- February 11, 2020 February 11, 2020
- 14:29
Advice failures cost Aussie banks big
Big banks paying hundreds of millions in customer compensation
- By: James Langton
- February 11, 2020 February 11, 2020
- 12:26
CFA meets IIROC licensing standards
The designation qualifies as an alternative to the CSC
- By: James Langton
- February 11, 2020 February 7, 2020
- 09:00
Attempt to sue OSC an ‘abuse of process,’ court says
Court of Appeal upholds ruling dismissing lawsuit proposed by trust beneficiary
- By: James Langton
- February 10, 2020 February 10, 2020
- 15:07
AMF names mining sector advisory group
Investment industry reps, miners and consultants form committee
- By: James Langton
- February 10, 2020 February 10, 2020
- 10:37
U.S. court wants to hear from Madoff’s victims
Madoff's bid for early release may face a public hearing
- By: James Langton
- February 10, 2020 February 10, 2020
- 09:29
Future OSC chair ruled out of enforcement case
Vice-chair Grant Vingoe leaves a hearing panel to avoid a perception of bias when he becomes acting chair in April
- By: James Langton
- February 7, 2020 February 7, 2020
- 14:03
ESMA sets sustainability strategy
European regulator to factor ESG into both policy and oversight efforts
- By: James Langton
- February 6, 2020 February 6, 2020
- 15:00
Ontario launches overdue capital markets review
Soliman to lead first "five-year" review since 2003
- By: James Langton
- February 6, 2020 February 6, 2020
- 13:23
MX details compliance priorities
Direct access, client identifiers and AI top the list
- By: James Langton
- February 5, 2020 February 5, 2020
- 14:50
Coronavirus sparks outbreak of investment fraud: SEC
The U.S. watchdog warned against pump-and-dump schemes tied to global health emergencies
- By: James Langton
- February 5, 2020 February 5, 2020
- 11:58
European regulators to examine suitability issues
Review will examine implementation of MiFID II requirements
- By: James Langton
- February 5, 2020 February 5, 2020
- 11:39