ESMA consults on commodity derivatives reforms
Feedback due in Jan. 2020
- By: James Langton
- November 5, 2019 November 13, 2019
- 11:58
Latest news in From the Regulators
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
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
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