CFTC exempts family offices in split vote
Dissenting commissioner says it's "absurd that the commission is excusing billionaires from the notice-filing requirement"
- By: James Langton
- November 25, 2019 November 25, 2019
- 14:57
Latest news in From the Regulators
IIROC steps up AML guidance
The new guidance, which takes effect in June, will reflect recent changes to AML obligations
- By: James Langton
- November 25, 2019 November 25, 2019
- 10:46
Conduct rules for derivatives dealers coming soon, OSC says
The director of the OSC's derivatives branch says the "work is almost done"
- By: James Langton
- November 22, 2019 November 22, 2019
- 17:12
New Brunswick aims to boost SRO powers
The province will be the fifth to give IIROC a full enforcement toolkit
- By: James Langton
- November 22, 2019 November 22, 2019
- 14:29
U.K. broker pleads guilty to conspiring to evade FATCA
The broker also facilitated manipulative trading in a U.S. company, authorities said
- By: James Langton
- November 22, 2019 November 22, 2019
- 12:39
FINTRAC to allow virtual currency dealers to register
Registration is voluntary ahead of mandatory requirements taking effect
- By: James Langton
- November 22, 2019 November 22, 2019
- 11:57
Court grants leave to appeal BCSC ruling in pump-and-dump case
Question raised about whether BCSC had jurisdiction
- By: James Langton
- November 22, 2019 November 22, 2019
- 11:37
OSC decision on DSCs to come — eventually
A revised policy stance is in the works
- By: James Langton
- November 22, 2019 November 22, 2019
- 10:09
TD added to the list of global systemically important banks
RBC is the only other Canadian bank on the list
- By: James Langton
- November 22, 2019 November 22, 2019
- 09:38
B.C. Securities Commission says crypto trader leaves millions owing
Einstein Group has less than $45,000 in cash and cryptocurrency, a receiver's report found
- By: The Canadian Press
- November 21, 2019 November 21, 2019
- 15:58
Managing conflicts when making investment recommendations
A regulatory panel breaks down a case study
- By: Michelle Schriver
- November 21, 2019 November 21, 2019
- 14:02
FCA sanctions firm for closet indexing
Retail investors allegedly paid fees for active management they did not receive
- By: James Langton
- November 20, 2019 November 20, 2019
- 12:45
Defending retail investors drove SEC enforcement in 2019
SEC also enjoyed a record level of co-operation in its enforcement efforts
- By: James Langton
- November 20, 2019 November 20, 2019
- 12:27
Hedge fund trader sentenced in mismarking case
A 40-month prison sentence "underscores the seriousness" of the crimes, lawyer says
- By: James Langton
- November 19, 2019 November 19, 2019
- 16:23
Open banking could be transformational, but poses risks
A new report warns of data privacy and cybersecurity concerns
- By: James Langton
- November 19, 2019 November 19, 2019
- 13:39
OSC roots out millions in compliance cost savings
New report sets out 107 recommendations aimed at easing the regulatory burden
- By: James Langton
- November 19, 2019 November 19, 2019
- 13:36
ASC sanctions advisor who served clients with a suspended registration
The advisor had been in the industry for 30 years
- By: James Langton
- November 19, 2019 November 19, 2019
- 13:29
OBSI-IIROC info sharing worries IIAC
The relationship with IIROC may change how firms approach OBSI inquiries, a letter says
- By: James Langton
- November 15, 2019 November 15, 2019
- 15:31
Whistleblowers share US$260,000 award
Three victims of fraud notified SEC of scheme targeting retail investors
- By: James Langton
- November 15, 2019 November 15, 2019
- 13:52
IIROC terminates Jacob Securities
Firm had been suspended since 2015
- By: James Langton
- November 15, 2019 November 15, 2019
- 12:03
OSC seeks lawyers to advise on tribunal policy
The Securities Proceedings Advisory Committee provides advice on policy and procedural initiatives
- By: James Langton
- November 15, 2019 November 15, 2019
- 10:54
ASC panel bans, fines Ponzi schemers
An individual and a firm must pay almost $2.75M
- By: James Langton
- November 14, 2019 November 14, 2019
- 17:10
Basel Committee revises banks’ disclosure requirements
Discussion papers address disclosures of market risk and sovereign exposure
- By: James Langton
- November 14, 2019 November 14, 2019
- 15:25
OSFI rebuffs global capital rules for insurers
The standard would impose capital requirements for long-term products that are too high, the office said
- By: James Langton
- November 14, 2019 November 14, 2019
- 13:15
IIROC tackles growing cyber risk with mandatory reporting rule
Firms must report breaches within three days
- By: James Langton
- November 14, 2019 November 14, 2019
- 12:05