Ex-Goldman banker banned by Fed
A third Goldman executive has been sanctioned for his role in the 1MDB scandal
- By: James Langton
- February 4, 2020 February 4, 2020
- 13:14
Latest news in From the Regulators
Shining a brighter light on equity trading
ESMA has launched a consultation on improving market transparency
- By: James Langton
- February 4, 2020 February 4, 2020
- 12:33
OSC names new SPAC members
The committee provides industry feedback on the regulator's in-house tribunal
- By: James Langton
- February 4, 2020 February 4, 2020
- 10:52
Updated: MFDA proposes SRO overhaul
A new paper envisions a single SRO, with the CSA taking responsibility for market regulation
- By: James Langton
- February 3, 2020 February 4, 2020
- 11:35
Ex-regulator admits to helping hide Ponzi scheme
The accused accepted Super Bowl tickets, other inducements to help thwart an SEC investigation
- By: James Langton
- January 31, 2020 January 31, 2020
- 16:54
Fraud victims may face scam reruns
Saskatchewan's regulator warns about fraudsters hitting targets repeatedly
- By: James Langton
- January 31, 2020 January 31, 2020
- 15:57
MFDA mulls feedback on CE program
SRO develops accreditation process amid divergent industry reaction
- By: James Langton
- January 31, 2020 January 31, 2020
- 14:00
Fund rep sanctioned for misappropriating client funds
Rep admitted gambling away money taken from clients
- By: James Langton
- January 31, 2020 January 31, 2020
- 09:42
SEC proposes disclosure reforms
Changes are designed to make financial statements more useful for investors and ease compliance for companies
- By: James Langton
- January 30, 2020 January 30, 2020
- 16:49
IIROC board adds former Nova Scotia public sector exec
Victoria Harnish will serve a two-year term
- By: IE Staff
- January 30, 2020 January 30, 2020
- 14:35
Debt fears rising among global regulators
A decline in credit quality has been added to IOSCO's menu of concerns
- By: James Langton
- January 30, 2020 January 30, 2020
- 14:24
Financial sector bracing for Brexit
The U.K. bows out on Jan. 31, kicking off the transition
- By: James Langton
- January 30, 2020 January 30, 2020
- 12:59
Asset managers must adopt FX code: BIS
Central bankers call for improvements and broader adoption of the FX Global Code
- By: James Langton
- January 30, 2020 January 30, 2020
- 12:20
Fund dealers need a path to selling alt funds: AIMA
The industry group is calling on regulators to develop a proficiency regime for fund reps
- By: James Langton
- January 30, 2020 January 30, 2020
- 11:33
OSC suspends exempt market dealer for filing failures
The regulator found the firm breached registration rules by repeatedly missing deadlines
- By: James Langton
- January 28, 2020 January 28, 2020
- 16:27
HFT costs global markets US$5 billion annually, FCA research finds
Researchers used message data to calculate the cost of latency arbitrage
- By: James Langton
- January 28, 2020 January 28, 2020
- 13:24
Fund dealer exec sentenced for fraud
The former head of W.H. Stuart Mutuals Ltd. was also ordered to pay restitution
- By: James Langton
- January 28, 2020 January 28, 2020
- 11:26
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
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