FSB cites some post-crisis improvement
Preparations to avoid taxpayer bailouts still need work: report
- By: James Langton
- November 14, 2019 November 14, 2019
- 11:40
Latest news in From the Regulators
BoC steps up defences against liquidity shocks
New facility would provide loans to a financial firm facing exceptional liquidity stress
- By: James Langton
- November 14, 2019 November 14, 2019
- 11:05
What’s next for title reform in Ontario
Details are few, but flexibility is a key theme
- By: Michelle Schriver
- November 13, 2019 November 14, 2019
- 12:50
Fund rep banned for thwarting MFDA investigation
The former rep was being investigated for allegedly liquidating his father's investment accounts
- By: James Langton
- November 13, 2019 November 13, 2019
- 11:49
Bank of Canada official urges public-private sector defence against cyberattacks
New regulations and legislation may be required
- By: David Paddon, The Canadian Press
- November 12, 2019 November 13, 2019
- 16:31
Tougher scrutiny for “risky” syndicated mortgages
Regulator says it's "committed to strengthening" investor protection
- By: James Langton
- November 12, 2019 November 13, 2019
- 16:16
CSA signs fintech cooperation deal with MAS
Deal will allow businesses in Canada and Singapore to access new regulated markets
- By: James Langton
- November 12, 2019 November 13, 2019
- 13:07
Cannabis sector conflicts prompt CSA action
The regulator issued new guidance on Tuesday aimed at enhancing disclosure provided by cannabis companies
- By: James Langton
- November 12, 2019 November 13, 2019
- 11:09
Global bank policymakers shuffle leadership
Appointments made to lead BIS central bank groups
- By: James Langton
- November 11, 2019 November 13, 2019
- 11:25
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