Former CFO fined, banned after admitting to accounting failures
Octagon Capital was suspended in 2015 after IIROC found it to be capital deficient
- By: James Langton
- May 28, 2019 November 13, 2019
- 11:20
Latest news in From the Regulators
FX trading scheme leads to fine, ban
NSSC hands down $150,000 administrative penalty
- By: James Langton
- May 27, 2019 November 13, 2019
- 14:58
Risks to cross-border payments rising
Report finds the number of correspondent banking relationships is shrinking
- By: James Langton
- May 27, 2019 November 13, 2019
- 12:30
Regulators ramp up attention on crypto sector
BCSC report warns of liquidity, security and volatility risks; IIROC assembles crypto working group
- By: James Langton
- May 27, 2019 November 13, 2019
- 11:05
SEC gives whistleblower $4.5 million
The award is the first under a program designed to incentivize internal reporting
- By: IE Staff
- May 24, 2019 November 13, 2019
- 14:30
Complaints about financial planners rose in 2018: FP Canada
Seven complaints were referred to a hearing panel, half as many as the previous year
- By: IE Staff
- May 24, 2019 November 13, 2019
- 14:16
Quebec court upholds $285,000 in fines for illegal brokerage activity
Two individuals and a numbered company were implicated
- By: IE Staff
- May 24, 2019 November 13, 2019
- 13:02
U.S. regulators enlist firms in fight against senior abuse
Recent legislation gives financial firms and employees immunity for reporting incidents
- By: James Langton
- May 23, 2019 November 13, 2019
- 16:40
CMHC CEO defends mortgage stress test changes amid calls for loosening rules
"The stress test is doing what it is supposed to do," CEO Evan Siddall wrote to parliamentarians
- By: IE staff, with files from Canadian Press
- May 23, 2019 November 13, 2019
- 16:15
IIROC issues new guidance on dealers’ proxy voting conflicts
Paying dealers to solicit votes in contested director elections creates "unmanageable" conflict
- By: James Langton
- May 23, 2019 November 13, 2019
- 13:23
Too-big-to-fail reforms facing review
The FSB is assessing the effectiveness of the post-crisis response
- By: James Langton
- May 23, 2019 November 13, 2019
- 11:03
BCSC wins bid to enforce disgorgement order in U.S. court
Former Vancouver resident moved to Las Vegas after being ordered to return $21.7 million to investors
- By: James Langton
- May 22, 2019 November 13, 2019
- 14:53
SEC prepping for trading fee pilot study
Study to analyze the effects of exchange trading fee and rebate pricing models
- By: James Langton
- May 22, 2019 November 13, 2019
- 12:11
OSC settles allegations of trading misconduct
The settlement says a former director violated his firm's insider trading policy
- By: James Langton
- May 21, 2019 November 13, 2019
- 17:19
U.S. regulators halt alleged Ponzi scheme
The scheme raised US$30 million from more than 300 investors in the U.S. and Canada
- By: James Langton
- May 21, 2019 November 13, 2019
- 10:55
Crypto, forex fraud flourishing, FCA reports
U.K. regulator warns of "startling" figures
- By: James Langton
- May 21, 2019 November 13, 2019
- 09:20
IG settles with MFDA over suitability of DSC sales to elderly clients
The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules
- By: James Langton
- May 17, 2019 November 13, 2019
- 13:13
IIROC delays debt trade reporting change to 2020
The reduced reporting deadline for debt transactions won't take effect until April
- By: James Langton
- May 17, 2019 November 13, 2019
- 10:20
U.S. derivatives regulator allows ICE speed bump
The CFTC is looking to nullify high-frequency traders' advantage
- By: James Langton
- May 16, 2019 November 13, 2019
- 15:59
IIROC enforcement remains steady, but the SRO is adding muscle
The organization beefed up its authority in five provinces and three territories
- By: James Langton
- May 16, 2019 November 13, 2019
- 11:12
B.C. launches public inquiry into money laundering
The commission will have the power to compel testimony
- By: James Langton
- May 15, 2019 November 13, 2019
- 16:38
OSC drops late filing fees for OBAs
The change will result in more than $700K of savings for registrants
- By: James Langton
- May 15, 2019 November 13, 2019
- 14:46
Market risk remains high, ESMA cautions
Overvalued assets could lead to a correction
- By: James Langton
- May 15, 2019 November 13, 2019
- 12:16
FINRA plans digital transformation
The U.S. regulator aims to enhance compliance and cut costs with its new initiative
- By: James Langton
- May 14, 2019 November 13, 2019
- 14:40
IAP to focus on advice gap, innovation, investor-friendly reforms
The threat of a shortage of financial advice is cited by industry groups as a reason to avoid tougher investor protection rules
- By: James Langton
- May 14, 2019 November 13, 2019
- 12:42