Global binary options scheme defrauded investors, DoJ alleges
Alleged scheme involved marketing US$140 million in binary options
- By: James Langton
- November 8, 2019 November 13, 2019
- 16:23
Latest news in From the Regulators
SEC, AMF seek restitution for ICO investors
Firm and its founders ordered to pay US$6.9 million
- By: James Langton
- November 8, 2019 November 13, 2019
- 15:10
Record settlement in CFTC spoofing case
Tower Research Capital will pay US$67.4 million
- By: James Langton
- November 7, 2019 November 13, 2019
- 16:56
FAIR Canada adds to board
New members bring extensive knowledge of investors rights and consumer advocacy
- By: James Langton
- November 7, 2019 November 13, 2019
- 16:55
Nasdaq sharpens market surveillance
New technology incorporates AI into monitoring systems
- By: James Langton
- November 7, 2019 November 13, 2019
- 10:45
Ontario to review Securities Act for first time in 16 years
Province will create a task force for the review
- By: Rudy Mezzetta
- November 6, 2019 November 13, 2019
- 16:42
U.S. firms to pay back overcharged clients, FINRA says
Firms allegedly charged excess fees on education savings plans
- By: James Langton
- November 6, 2019 November 13, 2019
- 13:32
Enforcement action, sanctions surge in 2019, SEC reports
The increases came in spite of the U.S. federal government shutdown
- By: James Langton
- November 6, 2019 November 13, 2019
- 12:43
SEC seeks to toughen proxy rules
Proposals include stricter rules about proxy solicitation and shareholder proposals
- By: James Langton
- November 5, 2019 November 13, 2019
- 15:59
Bitcoin usage up, Bank of Canada finds
Survey finds most Bitcoin owners are speculators, although more people are using the cryptocurrency for transactions
- By: James Langton
- November 5, 2019 November 13, 2019
- 14:30
ESMA consults on commodity derivatives reforms
Feedback due in Jan. 2020
- By: James Langton
- November 5, 2019 November 13, 2019
- 11:58
SEC could allow testimonials, endorsements in advisor advertising
SEC also extends soft-dollar relief related to MiFID II
- By: James Langton
- November 5, 2019 November 13, 2019
- 11:42
IIROC settles trading violation case with RBC, Scotia and TD
The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.
- By: James Langton
- November 4, 2019 November 13, 2019
- 16:53
Investors can be whistleblowers too, SEC says
A sports auction site allegedly required investors to sign an agreement stating they would not report violations to the SEC
- By: James Langton
- November 4, 2019 November 13, 2019
- 14:37
B.C. court appoints receiver for crypto platform Einstein Exchange
The BCSC took action when customers on the unregistered exchange couldn't access their assets
- By: James Langton
- November 4, 2019 November 13, 2019
- 13:46
Global cryptos could be securities, IOSCO says
So-called "stablecoins" need to be evaluated on a case-by-case basis, global regulators say
- By: James Langton
- November 4, 2019 November 13, 2019
- 10:41
Canada tapped to host global banking event
The conference will focus on global regulatory issues tied to the banking industry
- By: IE Staff
- October 31, 2019 November 13, 2019
- 13:38
IIROC launches crypto advisory group
The members will provide the SRO with policy advice
- By: James Langton
- October 31, 2019 November 13, 2019
- 13:19
ISS sues SEC over guidance on proxy advice
Proxy advisory firm claims guidance is "arbitrary and capricious"
- By: James Langton
- October 31, 2019 November 13, 2019
- 11:39
FSRA steps into global sandbox
Ontario's new financial services regulator will cooperate with its global counterparts
- By: James Langton
- October 31, 2019 November 13, 2019
- 10:24
OSC approves Bitcoin investment fund
3iQ Corp.'s Bitcoin Fund was originally rejected by the regulator's staff
- By: James Langton
- October 30, 2019 November 13, 2019
- 16:50
Trading ban breacher gets jail time
The recidivist was sentenced to 90 days in prison and two years probation
- By: James Langton
- October 29, 2019 November 13, 2019
- 17:15
Online security a top priority for regulators, investors, NASAA says
The association president warned of the reputational damage from cyber attacks
- By: James Langton
- October 29, 2019 November 13, 2019
- 15:44
MFDA bans former Edmonton mutual fund rep
Outside and private dealings lead to $150,000 fine
- By: James Langton
- October 28, 2019 November 13, 2019
- 10:20
B.C. shines a light on corporate secrecy
Private businesses will be required to maintain certain records on their beneficial owners
- By: James Langton
- October 25, 2019 November 13, 2019
- 15:50