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
Latest news in From the Regulators
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
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