Scheme to dupe U.S. audit regulators ends in guilty plea
The charge stemmed from using confidential lists of audit reviews to enhance the firm's results
- By: James Langton
- October 4, 2019 November 13, 2019
- 16:32
Latest news in From the Regulators
CSA seeks to bolster CPAB’s access to offshore audit files
Comments are due Jan. 2
- By: James Langton
- October 3, 2019 November 13, 2019
- 13:13
Ending caveat emptor: CSA adopts client-focused reforms
The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients
- By: James Langton
- October 3, 2019 November 13, 2019
- 12:19
SEC to require exchanges to consult on fees
Fee changes would have to be submitted for comment and approved
- By: James Langton
- October 3, 2019 November 13, 2019
- 11:19
ESMA contemplates trading rule reforms
The regulatory agency has published a consultation paper on market abuse rules
- By: James Langton
- October 3, 2019 November 13, 2019
- 11:01
Post-crisis reforms still need work, IOSCO finds
Global group of securities regulators has updated reviews of reforms for money market funds and securitizations
- By: James Langton
- October 2, 2019 November 13, 2019
- 15:07
Inter-dealer brokers settle with U.S. authorities
The firms allegedly used phantom bids and false communication to increase trading activity
- By: James Langton
- October 2, 2019 November 13, 2019
- 14:59
RBC settles with CFTC over supervisory failures
Firm's traders believed that the exchange allowed the transactions in question
- By: James Langton
- October 2, 2019 November 13, 2019
- 13:04
Global banks enhance capital, liquidity positions
The Basel Committee on Banking Supervision released its latest assessment
- By: James Langton
- October 2, 2019 November 13, 2019
- 12:45
Female execs remain scarce, as directors gain ground
A review found that 17% of board seats are now held by women, up from 15% a year ago
- By: James Langton
- October 2, 2019 November 13, 2019
- 12:35
Smart investors should steer clear of ‘smart wallets,’ BCSC says
Regulator warns of apps promising "pyramid-like payouts"
- By: James Langton
- October 2, 2019 November 13, 2019
- 10:57
ESMA faces busy investor-protection agenda
European regular plans to expand its mandate in 2020
- By: James Langton
- October 1, 2019 November 13, 2019
- 15:05
Blockchain company settles with SEC for unregistered ICO
The regulator ruled that the company violated federal securities laws and ordered it to pay a US$24 million penalty
- By: James Langton
- October 1, 2019 November 13, 2019
- 14:20
Understanding fees remains a challenge for investors, CSA says
Fees and registration are the focus of two CSA campaigns this month
- By: James Langton
- October 1, 2019 November 13, 2019
- 13:56
Global equity issuance weak so far in 2019
The first nine months of the year were the slowest since 2012
- By: James Langton
- October 1, 2019 November 13, 2019
- 11:59
Social media is a fraudster’s best friend, research finds
Scams with the highest engagement and victimization rates involve social media
- By: James Langton
- October 1, 2019 November 13, 2019
- 11:03
AMF warns about convicted fraudster Weizhen Tang
Permanently banned from Ontario's markets, Tang may now be soliciting investors in Quebec
- By: James Langton
- September 30, 2019 November 13, 2019
- 15:13
IOSCO issues investor ed guidance
Framework is designed to help develop and implement education programs
- By: James Langton
- September 30, 2019 November 13, 2019
- 14:18
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
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