B.C. court denies bankruptcy discharge to securities-law violators
Pair owes $19 million to the BCSC over a market manipulation case
- By: James Langton
- April 15, 2020 April 15, 2020
- 15:00
Latest news in From the Regulators
IIROC gives dealers a breather on fees
SRO fees are being pushed back for small and mid-size firms, which represent 90% of investment dealers
- By: James Langton
- April 15, 2020 April 16, 2020
- 11:12
ASIC eases constraints on advice, but not oversight
Regulator takes steps to ease access to advice, but remains vigilant against misconduct
- By: James Langton
- April 14, 2020 April 14, 2020
- 13:21
FSB consults on crypto regulation
Group proposes principles for regulating risks that may arise from adoption of "global stablecoins"
- By: James Langton
- April 14, 2020 April 14, 2020
- 11:51
Tackling the greenwashing threat
IOSCO calls for more consistent, comparable ESG disclosure
- By: James Langton
- April 14, 2020 April 14, 2020
- 11:27
Pandemic puffery seeks to infect investors
Regulators warn about a promotion using snail mail to spread stock hype
- By: James Langton
- April 13, 2020 April 13, 2020
- 13:12
SEC beefs up market infrastructure standards
Agency extends enhanced requirements to all clearing firms
- By: James Langton
- April 13, 2020 April 13, 2020
- 11:17
EU regulators take patient approach to reporting deadlines
ESMA calls for leniency for fund managers, benchmarks and auditors
- By: James Langton
- April 9, 2020 April 9, 2020
- 15:23
Traders settle SEC hacking case
Insider trading scheme preyed on hack into SEC's filing database
- By: James Langton
- April 9, 2020 April 9, 2020
- 14:41
Canadian regulators refrain from curbing short-selling
CSA and IIROC report no signs of excessive short pressure
- By: James Langton
- April 9, 2020 April 9, 2020
- 14:29
OSFI relaxes capital rules for banks, insurers
The regulator is further easing the strain on financial institutions
- By: James Langton
- April 9, 2020 April 9, 2020
- 14:07
CSA pauses policy work
Regulators may provide further relief to industry, help for investors
- By: James Langton
- April 9, 2020 April 9, 2020
- 11:51
FCA aims to keep capital flowing
Regulator takes temporary steps to help companies find funding
- By: James Langton
- April 8, 2020 April 8, 2020
- 16:09
OSC names chief of new growth-focused branch
The head of LaunchPad will lead the Office of Economic Growth and Innovation
- By: James Langton
- April 8, 2020 April 8, 2020
- 16:06
Global regulators all-in on pandemic perils
IOSCO shelving projects to focus on issues of volatility, liquidity and market stress
- By: James Langton
- April 8, 2020 April 8, 2020
- 15:19
SEC sanctions Cantor Fitzgerald for data failings
The firm admitted its failings and took action to repair its trade reporting
- By: James Langton
- April 7, 2020 April 7, 2020
- 16:03
SEC details compliance plans for new “best interest” standards
Initial compliance exams will focus on firms' commitment to adopting new requirements
- By: James Langton
- April 7, 2020 April 7, 2020
- 14:56
Retail investor returns crimped by high costs: ESMA
The regulator's research finds investment fund costs remain high
- By: James Langton
- April 7, 2020 April 7, 2020
- 11:53
Rep fined, suspended for misconduct
An IIROC panel found the rep engaged in improper personal financial dealings with a client and misled investigators
- By: James Langton
- April 7, 2020 April 7, 2020
- 11:43
Trading scams target pandemic’s economic casualties, CFTC warns
Frauds are now targeting newly desperate workers
- By: James Langton
- April 6, 2020 April 6, 2020
- 15:18
Expert analysis leads to OSC whistleblower award
The tipster spotted misconduct that led to enforcement action
- By: James Langton
- April 6, 2020 April 6, 2020
- 11:23
Don’t skimp on financial reporting, IOSCO says
Regulators stress the need for high-quality reporting in times of turmoil
- By: James Langton
- April 3, 2020 April 3, 2020
- 16:25
Derivatives margin requirements delayed
The final deadline for the post–financial crisis reform is pushed to 2022
- By: James Langton
- April 3, 2020 April 3, 2020
- 15:39
Another SEC tipster gets paid
The whistleblower shared "vital information" despite "implied threats" from wrongdoers
- By: James Langton
- April 3, 2020 April 3, 2020
- 15:00
Private markets a breeding ground for Covid-19 scams: NASAA
Fraudsters could exploit stock market turmoil, regulators warn
- By: James Langton
- April 3, 2020 April 3, 2020
- 15:00