BMO settles SEC conflict allegations
Investors allegedly weren't told that managed account products used proprietary funds
- By: James Langton
- September 27, 2019 November 13, 2019
- 17:43
Latest news in From the Regulators
Whistleblower tips feature prominently in CFTC enforcement
Latest tip leads to a US$7 million reward
- By: James Langton
- September 27, 2019 November 13, 2019
- 16:45
MX updates guidance on wash trading
A notice published Friday provides greater clarity on what constitutes wash trading
- By: James Langton
- September 27, 2019 November 13, 2019
- 14:57
Canadian firm settles U.S. bribery charges
Firm allegedly violated the U.S. Foreign Corrupt Practices Act
- By: James Langton
- September 27, 2019 November 13, 2019
- 13:56
Active funds underperform due to higher costs, ESMA finds
Study finds that in 2018, costs ate up 90% of gross returns
- By: James Langton
- September 27, 2019 November 13, 2019
- 11:16
U.S. ETF regulation reformed to boost competition
New rules allow certain ETFs to come to market more quickly
- By: James Langton
- September 27, 2019 November 13, 2019
- 09:43
MFDA’s CE rules get OSC approval
SRO wants to ensure fund reps' skills and industry knowledge remain up to date
- By: James Langton
- September 26, 2019 November 13, 2019
- 16:03
CSA rules on incentives inadequate, IOSCO finds
The shortcomings may be addressed through the CSA's client-focused reforms
- By: James Langton
- September 26, 2019 November 13, 2019
- 12:55
Central bankers go green
The Bank for International Settlements has launched a climate-friendly fund for central banks' reserves
- By: James Langton
- September 26, 2019 November 13, 2019
- 11:27
MFDA reviewing rules, requirements
Areas where future regulatory policy is expected include cybersecurity and protecting seniors
- By: James Langton
- September 25, 2019 November 13, 2019
- 17:09
Massive industry hack ends in guilty plea
U.S. attorney says the plea ends a "global reign of computer intrusion"
- By: James Langton
- September 24, 2019 November 13, 2019
- 14:38
Leverage, structured product risks lurk, ESMA says
A new study examines the fund industry's exposure to these risks
- By: James Langton
- September 24, 2019 November 13, 2019
- 13:27
OSC unveils new industry committee on trading policy
The members of the Market Structure Advisory Committee were announced on Tuesday
- By: James Langton
- September 24, 2019 November 13, 2019
- 11:54
Ex-banker convicted for tipping M&A deals
The man tipped his father about corporate acquisitions before they were made public
- By: James Langton
- September 24, 2019 November 13, 2019
- 09:04
SEC sanctions PwC for audit violations
PwC and one of the firm's partners are paying US$7.9 million to settle allegations
- By: James Langton
- September 23, 2019 November 13, 2019
- 12:43
BCSC imposes $1.7 million in financial sanctions for fraud
Three B.C. men diverted investors’ funds from mortgages secured by real estate
- By: IE Staff
- September 20, 2019 November 13, 2019
- 14:26
FINRA seeks new top cop
The U.S. self-regulatory organization's head of enforcement is stepping down after two years
- By: James Langton
- September 19, 2019 November 13, 2019
- 12:52
Disclosure deficiencies abound, AMF reports
More than half of reviewed cases required remedial action
- By: James Langton
- September 19, 2019 November 13, 2019
- 12:38
Unbundling rules pay off for investors, FCA review finds
Regulators found the policy reduced conflicts
- By: James Langton
- September 19, 2019 November 13, 2019
- 11:56
SEC shuts down alleged US$125 million trading scheme
Allegations include falsified account statements and Ponzi-like payments
- By: James Langton
- September 18, 2019 November 13, 2019
- 15:31
Poloz, global regulators to headline OSC conference
The regulator has unveiled the preliminary agenda for its annual conference
- By: James Langton
- September 18, 2019 November 13, 2019
- 11:09
Raymond James settles with SEC for improperly charging clients
The SEC found that the firm failed to review inactive accounts and also overcharged clients
- By: James Langton
- September 17, 2019 November 13, 2019
- 14:58
BMO settles SEC charges on data reporting
Firm has agreed to pay US$1.95 million
- By: James Langton
- September 16, 2019 November 13, 2019
- 16:45