CSA reveals name for revamped filing system
The system will be unveiled in four phases, beginning in 2021
- By: IE Staff
- October 25, 2019 November 13, 2019
- 11:11
Latest news in From the Regulators
CSA reviewing insider trading plans
Regulators will look at whether they should continue to exclude trades done under ASDPs from insider reporting requirements
- By: James Langton
- October 24, 2019 November 13, 2019
- 14:35
OSC issues findings in insider tipping and trading case
A future hearing will determine sanctions against Cornish; allegations against Caruso and Sidders were dismissed
- By: James Langton
- October 24, 2019 November 13, 2019
- 14:15
Banned pair face new charges from OSC
Regulator alleges duo promoted and sold investments to vulnerable investors through Wealth-e Group
- By: James Langton
- October 24, 2019 November 13, 2019
- 12:05
U.S. regulators join global sandbox
Global Financial Innovation Network grows to include 50 organizations
- By: James Langton
- October 24, 2019 November 13, 2019
- 10:50
B.C. court orders extradition for trader accused in U.S. penny stock scheme
Alleged market manipulation scheme involved 11 U.S. penny stocks
- By: James Langton
- October 24, 2019 November 13, 2019
- 10:23
Ex-SEC examiner faces obstruction charge
Other charges are unauthorized computer access and unauthorized disclosure of confidential information
- By: James Langton
- October 24, 2019 November 13, 2019
- 07:00
Time to revive SRO merger talks: C.D. Howe paper
A new paper argues that prospects for reform at the provincial level shouldn't prevent IIROC and MFDA from merging
- By: James Langton
- October 24, 2019 November 13, 2019
- 06:01
Spoof sites are all trick, no treat, SEC warns
Alert warns investors to be "extremely cautious"
- By: James Langton
- October 23, 2019 November 13, 2019
- 14:37
Global insider trading ring busted, U.S. authorities allege
Traders allegedly made tens of millions in illegal profits
- By: James Langton
- October 22, 2019 November 13, 2019
- 15:18
Fintech research unit founded by AMF, Finance Montréal
UQAM professor Richard Guay will chair the scientific committee
- By: James Langton
- October 22, 2019 November 13, 2019
- 12:55
BCSC gets beefed up enforcement powers in securities law overhaul
The reforms represent the most extensive amendments to the province's securities laws since the legislation was introduced in 1996
- By: James Langton
- October 21, 2019 November 13, 2019
- 20:20
No more LIBOR charges, U.K.’s SFO declares
The EURIBOR investigation remains open
- By: James Langton
- October 21, 2019 November 13, 2019
- 15:42
Banned reps churned out millions from vulnerable client, FINRA finds
More than 2,800 trades were placed in the accounts of a client with a severe impairment
- By: James Langton
- October 21, 2019 November 13, 2019
- 11:40
ESMA, ASIC cooperate on benchmark oversight
The two groups have signed a memorandum of understanding
- By: James Langton
- October 21, 2019 November 13, 2019
- 11:24
Fund rep’s ‘egregious’ misconduct harms clients, capital markets, MFDA panel says
The former rep has been permanently banned and ordered to pay more than $1.6 million
- By: James Langton
- October 21, 2019 November 13, 2019
- 11:18
IIROC fines firm $50K for non-compliant order-execution procedure
The procedure was contrary to the order-exposure rule
- By: Michelle Schriver
- October 18, 2019 November 13, 2019
- 16:42
SEC seeks solutions for thinly traded stocks
Weak trading volume can have multiple negative impacts
- By: James Langton
- October 17, 2019 November 13, 2019
- 16:22
MX launches new training requirement
Starting Nov. 1, aspiring derivatives traders must complete a course and pass an exam
- By: James Langton
- October 17, 2019 November 13, 2019
- 14:47
10 years on, more to be done on G20 reforms, FSB says
A new report evaluates the implementation of post-crisis reforms
- By: James Langton
- October 17, 2019 November 13, 2019
- 09:35
Sprucing up Europe’s disclosure rules
Proposed reforms aim to address regulators' concerns, including disclosure of investment costs
- By: James Langton
- October 16, 2019 November 13, 2019
- 17:08
Traders in China manipulated U.S. stocks, SEC alleges
Eighteen traders generated at least US$31 million in illicit profits, regulator says
- By: James Langton
- October 16, 2019 November 13, 2019
- 16:58
FCA promises action to promote sustainable finance
The regulator set out a series of proposals in a paper published Wednesday
- By: James Langton
- October 16, 2019 November 13, 2019
- 12:49
U.S. brokers sanitizing disciplinary records, investor group says
New report says expungements are being granted "as a matter of course"
- By: James Langton
- October 15, 2019 November 13, 2019
- 14:57
OTC derivatives reform stalls, FSB reports
A report says there's been limited implementation in the past year
- By: James Langton
- October 15, 2019 November 13, 2019
- 11:52