NASAA calls for greater use of E&O insurance to enhance investor protection
Many clients aren't being paid after winning arbitration
- By: James Langton
- December 11, 2019 December 11, 2019
- 12:03
Latest news in From the Regulators
BCSC settles insider trading, tipping case
The case involved a man tipping his friend to his company's financial results before they became public
- By: James Langton
- December 11, 2019 December 11, 2019
- 09:36
HSBC settles U.S. tax evasion case
The Swiss private bank must pay more than US$190 million
- By: James Langton
- December 10, 2019 December 10, 2019
- 17:07
Regulators team up to supervise financial system plumbing
A new report examines cooperation to ensure the safety and efficiency of financial market infrastructures
- By: James Langton
- December 10, 2019 December 10, 2019
- 13:42
Bitcoin fraudster gets jail sentence
At least 14 investors were defrauded in a trading scheme
- By: James Langton
- December 10, 2019 December 10, 2019
- 12:06
Derivatives markets grow, ESMA reports
The growth was driven by increases in both interest rate derivatives and equities
- By: James Langton
- December 9, 2019 December 9, 2019
- 14:57
SEC sanctions pot stock promoter
The man allegedly failed to disclose that he was being paid to promote the company
- By: James Langton
- December 9, 2019 December 9, 2019
- 14:47
Time to revamp fund disclosure, IFIC says
The industry group said the CSA should revisit prospectus requirements
- By: James Langton
- December 9, 2019 December 9, 2019
- 12:50
FCA expands rules to enhance financial industry ethics
The rules now apply to an additional 47,000 firms
- By: James Langton
- December 9, 2019 December 9, 2019
- 11:45
Rise of the machines: BigTech poses risks to financial system, FSB says
A report warns BigTech firms may "dominate, rather than diversify" financial services
- By: James Langton
- December 9, 2019 December 9, 2019
- 11:37
KYC, suitability failures justify ban, MFDA panel rules
The panel said the penalty proposed in the case is "necessary and sufficient" to serve as a deterrent
- By: James Langton
- December 9, 2019 December 9, 2019
- 08:58
Digital wealth management platform enhances executive team
The fintech D1g1t Inc. hires Andrew Aziz and Kian Rafia
- By: IE Staff
- December 6, 2019 December 6, 2019
- 12:07
FSRA aims to ease disclosure burden for certain investors
Mortgage brokers can provide shorter disclosure forms to "sophisticated" investors
- By: James Langton
- December 5, 2019 December 5, 2019
- 17:09
OSFI finalizes enhanced liquidity risk guidance
Updated guidance takes effect Jan. 1, 2020
- By: James Langton
- December 5, 2019 December 5, 2019
- 15:03
Ex-banker gets two years in jail for tipping dad
The man tipped his father to five forthcoming M&A deals
- By: James Langton
- December 5, 2019 December 5, 2019
- 14:05
European regulators recommend consolidated equity tape
ESMA also promises legislative changes to address market data costs
- By: James Langton
- December 5, 2019 December 5, 2019
- 13:24
Financial firms must prep for calamity, U.K. policymakers insist
Regulators introduce proposed requirements to strengthen resilience in the financial sector
- By: James Langton
- December 5, 2019 December 5, 2019
- 12:05
Pump and dump in Germany results in Ontario ban
The case involves a B.C. resident
- By: James Langton
- December 5, 2019 December 5, 2019
- 09:59
Long-time fund rep banned, fined for loans from vulnerable clients
The former rep borrowed more than $100,000 from clients
- By: James Langton
- December 4, 2019 December 4, 2019
- 10:55
OSC should have blanket order powers, IIAC says
Currently, the OSC is the only provincial regulator that can't issue blanket orders
- By: James Langton
- December 3, 2019 December 3, 2019
- 11:13
Regulatory challenges for the year ahead
In 2020, regulators will grapple with harmonization, tech and climate change, predicted speakers at the Toronto Refinitiv Summit
- By: Michelle Schriver
- December 2, 2019 December 2, 2019
- 15:29
FINRA enhances OTC market transparency
New data sheds light on OTC trading that takes place outside of alternative trading systems
- By: James Langton
- December 2, 2019 December 2, 2019
- 14:37
MFDA firms approve rule changes at AGM
The MFDA's auditors and directors were also approved at the meeting
- By: James Langton
- December 2, 2019 December 2, 2019
- 11:41
IIAC calls for rethink on defining in-house accounts
The association says an IIROC proposal should apply only to employees directly involved in client dealings
- By: James Langton
- November 29, 2019 November 29, 2019
- 14:31