SEC approves new long-term exchange
LTSE will focus on listing companies that pursue long-term success rather than short-term results
- By: James Langton
- May 10, 2019 November 13, 2019
- 15:30
Latest news in From the Regulators
CFTC charges managed fund CEO with fraud
Defendant allegedly misappropriated investors' funds
- By: James Langton
- May 10, 2019 November 13, 2019
- 13:23
SEC proposes reforms for oversight of cross-border swaps
Proposed amendments out for comment
- By: James Langton
- May 10, 2019 November 13, 2019
- 11:00
SIFMA white paper calls for cross-border regulatory co-operation
Paper outlines how a new standard of bilateral co-operation could look and operate
- By: James Langton
- May 9, 2019 November 13, 2019
- 15:00
CFTC accuses energy trader of mismarking to hide millions in losses
U.S. derivatives regulator seeks restitution, disgorgement, and monetary penalties
- By: James Langton
- May 9, 2019 November 13, 2019
- 14:10
Toronto advisor fined for making unsuitable recommendations
Rep recommended and implemented extensive margin use for two retired clients
- May 9, 2019 November 13, 2019
- 14:00
CSA proposals aim to give companies faster access to capital
Amendments are aimed at reducing the regulatory burden for issuers that wish to conduct ATM distributions
- By: James Langton
- May 9, 2019 November 13, 2019
- 12:15
OSC to consider settlement with NextBlock, Tapscott
Firm alleged to have misled investors with a slide presentation
- By: James Langton
- May 9, 2019 November 13, 2019
- 11:09
IIROC promises smarter market surveillance
New system to enhance SRO's ability to detect possible market abuse
- By: James Langton
- May 9, 2019 November 13, 2019
- 09:00
How the OSC is approaching regulatory burden
A special advisor to the commission shares how the OSC might shift its approach
- By: Rudy Mezzetta
- May 8, 2019 November 13, 2019
- 09:23
CFTC pays whistleblower who tried to warn internally first
The agency has now awarded more than US$85 million to whistleblowers
- By: James Langton
- May 7, 2019 November 13, 2019
- 13:18
Basel III reform implementation remains a work in progress
The Basel Committee has released its latest status report
- By: James Langton
- May 7, 2019 November 13, 2019
- 12:01
OSC upholds firm’s ASC suspension
The firm was also suspended in Alberta, B.C., Manitoba and Saskatchewan
- By: James Langton
- May 3, 2019 November 13, 2019
- 15:45
U.S. insurers purportedly lost hundreds of millions to investment scheme
Two former execs at a private equity firm have been charged
- By: James Langton
- May 3, 2019 November 13, 2019
- 12:40
FCA tackles demographic divide
Regulator to look at consumers' shifting financial needs in the years ahead
- By: James Langton
- May 2, 2019 November 13, 2019
- 15:42
CSA proposes systems reboot, cost cut
The regulator estimated that total system fees would decline by about 7% under the new model
- By: James Langton
- May 2, 2019 November 13, 2019
- 14:07
BCSC names new commissioners
Four appointees were announced on Wednesday
- By: James Langton
- May 1, 2019 November 13, 2019
- 15:02
OSC names new commissioner
Ray Kindiak has been appointed to a two-year term
- By: James Langton
- May 1, 2019 November 13, 2019
- 12:30
MFDA boosts enforcement in 2018
The SRO commenced a record 136 disciplinary proceedings last year
- By: James Langton
- May 1, 2019 November 13, 2019
- 12:18
U.S. court orders banks to provide information on Finns with offshore accounts
The request comes from Finnish tax authorities
- By: James Langton
- May 1, 2019 November 13, 2019
- 11:26
FCA reviewing market for financial advice
The deadline for initial feedback is June 3
- By: James Langton
- May 1, 2019 November 13, 2019
- 11:13
‘Shadow bank’ illegally served crypto exchanges, U.S. authorities allege
One accused has been arrested, while another remains at large
- By: James Langton
- April 30, 2019 November 13, 2019
- 17:28
Former fund rep and two others duped investors
BCSC hearing panel finds investors were defrauded of more than $1.1 million
- By: James Langton
- April 30, 2019 November 13, 2019
- 15:16
NASAA conference to examine new NAFTA’s impact on the financial sector
The new U.S.-Mexico-Canada (USMCA) trade deal has yet to be ratified
- By: James Langton
- April 30, 2019 November 13, 2019
- 13:12