CSA launches consultation on investor disclosure
New paper argues benefits of “access equals delivery” model for online disclosure
- By: James Langton
- January 9, 2020 January 9, 2020
- 12:10
Latest news in From the Regulators
MFDA bans former advisor
The former fund rep failed to co-operate in an MFDA investigation into falsified loan applications
- By: Michelle Schriver
- January 8, 2020 January 8, 2020
- 12:40
ASC warns investors of opportunities ‘too good to be true’
Help clients spot these common investment traps
- By: Maddie Johnson
- January 8, 2020 January 8, 2020
- 11:20
SEC sets compliance agenda for 2020
Retail investor issues, as well as registered investment advisors, will be under scrutiny
- By: James Langton
- January 7, 2020 January 7, 2020
- 14:53
Big data, analytics loom large in regulators’ future
U.K. regulators seek to enhance oversight and reduce burdens with data and technology
- By: James Langton
- January 7, 2020 January 7, 2020
- 12:05
Circuit breakers work, regulators find
A study finds that halts curb wild trading, but cause spreads to surge
- By: James Langton
- January 7, 2020 January 7, 2020
- 11:20
Iranian hackers may target financial industry
New York industry regulator issues cybersecurity alert
- By: James Langton
- January 6, 2020 January 6, 2020
- 17:32
SEC settles with ex-CEO of crypto company
Regulators alleged the man secured a fraudulent Nasdaq listing for his company
- By: James Langton
- January 3, 2020 January 3, 2020
- 16:22
Ex-trader fined, banned by OSC for insider trading
The trader sought insider tips from a Bay Street legal assistant
- By: James Langton
- January 3, 2020 January 3, 2020
- 15:31
Canadians charged by SEC for penny stock trading
U.S. regulators lay charges in an alleged international microcap trading fraud
- By: James Langton
- January 2, 2020 January 2, 2020
- 17:41
OSC seeks input from innovators
The regulator's innovation survey closes Jan. 10
- By: James Langton
- January 2, 2020 January 3, 2020
- 16:32
Swiss bank penalized for undisclosed U.S. accounts
DoJ revises deal with Union Bancaire Privée over secret accounts
- By: James Langton
- January 2, 2020 January 2, 2020
- 15:10
B.C. court dismisses suit against IIROC
The court found a suit involving a 2009 disciplinary action came too late
- By: James Langton
- December 23, 2019 December 23, 2019
- 16:43
Nova Scotia regulator warns about ‘unlocking’ scams
NSSC says schemes can cost investors their savings, plus trigger taxes
- By: James Langton
- December 23, 2019 January 2, 2020
- 15:12
Firms told to prep for end of LIBOR
New York's DFS calls on firms to submit transition plans
- By: James Langton
- December 23, 2019 December 23, 2019
- 14:11
NASAA warns about investor threats for 2020
Familiar investment schemes are joined by new scams on regulators' watchlist
- By: James Langton
- December 23, 2019 December 23, 2019
- 12:36
U.S. broker sanctioned for failing to guard against market manipulation
FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients
- By: James Langton
- December 23, 2019 December 23, 2019
- 11:57
OSC alleges ex-CEO sought contact high from pot sector
The regulator says a company issued false press releases touting plans to enter the cannabis business
- By: James Langton
- December 20, 2019 December 20, 2019
- 16:21
Securities recidivist gets jail time
The offences involved unregistered dealing and illegal distribution
- By: James Langton
- December 20, 2019 December 20, 2019
- 14:51
Tipster gets $1 million payout from CFTC
The whistleblower reported misconduct to another agency and was still rewarded
- By: James Langton
- December 20, 2019 December 20, 2019
- 12:18
IIROC preps for client-focused reforms in 2020
Investor protection and industry innovation highlight the SRO's compliance priorities
- By: James Langton
- December 20, 2019 December 20, 2019
- 12:11
IFIC disappointed with CSA’s planned DSC ban
Industry trade group prefers harmonized national solution
- By: James Langton
- December 19, 2019 December 19, 2019
- 17:06
New Brunswick regulator names new CEO
The agency's current securities head takes the reins on Jan. 1
- By: James Langton
- December 19, 2019 December 19, 2019
- 16:56
Leveraged loan risk rising, but how much?
FSB report finds risks are growing, but a lack of data prevents a full assessment
- By: James Langton
- December 19, 2019 December 19, 2019
- 13:12