ESMA to enhance trade transparency, reporting
Consultation focuses on improving non-equity markets
- By: James Langton
- March 10, 2020 March 10, 2020
- 12:00
Latest news in From the Regulators
Regulators grappling with Covid-19 fallout
SROs and dealers are activating business continuity plans
- By: James Langton
- March 10, 2020 March 10, 2020
- 11:40
Lawyer, industry vet join OSC investor group
The new IAP members will serve two-year terms
- By: James Langton
- March 10, 2020 March 10, 2020
- 10:45
IIROC to give retail investors a louder voice
The SRO will set up an advisory group that represents the investor perspective
- By: James Langton
- March 10, 2020 March 10, 2020
- 09:09
MFDA calls for regional council volunteers
Council members sit on the SRO's disciplinary panels
- By: James Langton
- March 9, 2020 March 9, 2020
- 15:49
B.C. ponders regulating alt financial firms
The province is examining money laundering, consumer protection, solvency and systemic risks at MSBs
- By: James Langton
- March 9, 2020 March 9, 2020
- 11:42
FCA to examine the evolving market for trading data
Pricing, competition and emerging risks are the focus of the regulator's review
- By: James Langton
- March 9, 2020 March 9, 2020
- 11:32
U.S. CFPB proposes paying whistleblowers
Awards would be capped at US$10 million
- By: James Langton
- March 9, 2020 March 9, 2020
- 10:25
FSRA slashes industry guidance
New provincial regulator gets rid of the guidance developed by predecessors
- By: James Langton
- March 6, 2020 March 6, 2020
- 12:33
FCA ramping up climate disclosure rules
Issuers are being pushed to follow global standards, and financial firms will face tougher demands too
- By: James Langton
- March 6, 2020 March 6, 2020
- 12:10
Financial firms must search for meaning
FCA discussion paper examines the need for "purpose" at industry firms
- By: James Langton
- March 5, 2020 March 5, 2020
- 15:47
CSA seeks easier access to foreign alternative trading systems
Regulators adopt new framework for exempting foreign trading venues
- By: James Langton
- March 5, 2020 March 5, 2020
- 15:02
CSA to speed up prospectus reviews
Regulators make pre-filing reviews broadly available
- By: James Langton
- March 5, 2020 March 5, 2020
- 12:54
CSA recruits firms to fight elder fraud
Regulators propose measures to help firms protect vulnerable clients
- By: James Langton
- March 5, 2020 March 5, 2020
- 11:13
OSC settles questionable compensation case
Rep's role in circumventing prospectus restriction leads to sanction
- By: James Langton
- March 4, 2020 March 4, 2020
- 15:59
Securities regulators grappling with coronavirus
Both the U.K. and U.S. regulators have issued statements
- By: James Langton
- March 4, 2020 March 4, 2020
- 15:57
U.S. alleges pair laundered US$100 million in hacked Bitcoin
Stolen crypto was laundered through transactions to hide its source
- By: James Langton
- March 3, 2020 March 3, 2020
- 16:57
Foreign visitors face fraud charges
Police allege the pair scammed financial industry customers
- By: James Langton
- March 3, 2020 March 3, 2020
- 16:29
Elder fraud tops US$1 billion, U.S. authorities allege
Prosecutions for fraud against seniors reaches record levels
- By: James Langton
- March 3, 2020 March 3, 2020
- 12:59
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
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