Ontario’s new era for financial regulation dawns
The new independent regulator replaces the FSCO and DICO
- By: James Langton
- June 7, 2019 November 13, 2019
- 17:03
Latest news in From the Regulators
Insurtech creates risks for consumers and regulators alike
Report examines insurers' use of AI and social media to assess risks
- By: James Langton
- June 7, 2019 November 13, 2019
- 15:49
Phony investment scheme leads to ban for former fund rep
"Special investment opportunity" allegedly misappropriated $1.36 million from clients
- By: James Langton
- June 6, 2019 November 13, 2019
- 17:19
Poor data threatens OTC derivatives market oversight
While the majority of data reporting is accurate, regulators also encountered deficiencies
- By: James Langton
- June 6, 2019 November 13, 2019
- 14:30
New IIROC rules bolster trading oversight
They take effect in September
- By: James Langton
- June 6, 2019 November 13, 2019
- 13:48
OSC seeks market structure expertise
Committee applications due July 5
- By: James Langton
- June 6, 2019 November 13, 2019
- 12:19
FSB warns of risks posed by fintech innovation
Innovations such as blockchain technology, crowdfunding and peer-to-peer lending pose novel risks and benefits to the financial system, suggests a new report published Thursday by…
- By: James Langton
- June 6, 2019 November 13, 2019
- 11:44
OSC aims to speed up miners’ offerings
Companies will be able to ask the regulator to review their disclosure before they file a prospectus
- By: James Langton
- June 6, 2019 November 13, 2019
- 10:48
Fund rep fined, banned for phony investment scheme
The fine is $1.6 million
- By: James Langton
- June 5, 2019 November 13, 2019
- 16:47
Global tax regulators target financial institutions
International group of tax authorities says "high end" financial firms are enabling tax evasion and other crimes
- By: James Langton
- June 5, 2019 November 13, 2019
- 16:33
Senate confirms new CFTC chairman
Heath Tarbert, who takes over as top derivatives regulator on July 15, previously held senior position at U.S. Treasury
- By: James Langton
- June 5, 2019 November 13, 2019
- 15:13
SEC adopts “best interest” rules for brokers
The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers
- By: James Langton
- June 5, 2019 November 13, 2019
- 13:10
Regulators consult on default auctions
Internaitonal bodies aim to reduce systemic risk
- By: James Langton
- June 5, 2019 November 13, 2019
- 12:12
Climate-related financial disclosure needs work, global task force finds
Disclosure is "still insufficient for investors"
- By: James Langton
- June 5, 2019 November 13, 2019
- 11:17
IIROC sets strategy through 2022
Regulator plans to work with provincial regulators and step up efforts to protect vulnerable investors such as seniors
- By: James Langton
- June 4, 2019 November 13, 2019
- 16:57
New rules for U.K. crowdfunding market aim to bolster investor protection, innovation
Investors will be limited to risking 10% of investable assets, unless they receive regulated financial advice
- By: James Langton
- June 4, 2019 November 13, 2019
- 15:54
SEC sues Canadian firm over digital coin offering
Regulator says Kik Interactive's coins should have been registered as securities
- By: James Langton
- June 4, 2019 November 13, 2019
- 14:02
FSB, IOSCO combat market fragmentation
Both groups have published reports that seek to address the issue
- By: James Langton
- June 4, 2019 November 13, 2019
- 11:46
FSB pushes move to new financial benchmarks
Overnight risk-free rates would "enhance financial stability," FSB says
- By: James Langton
- June 4, 2019 November 13, 2019
- 11:17
New OSC advisory group to focus on compliance issues for investment funds
New committee to provide input on technical compliance challenges
- By: James Langton
- June 4, 2019 November 13, 2019
- 11:02
Updated: Amid elevated debt levels, OSFI boosts banks’ capital demands
New domestic stability buffer takes effect on Oct. 31
- By: James Langton
- June 4, 2019 November 13, 2019
- 10:11
SEC shuts down alleged frat-house Ponzi scheme
Investors' funds were diverted for operator's own use and to repay other investors, regulator says
- By: James Langton
- June 3, 2019 November 13, 2019
- 17:04
Bank of Canada warns about investment scheme
Central bank says it has "no connection to this scam"
- By: James Langton
- June 3, 2019 November 13, 2019
- 16:19
SEC pays tipsters US$3 million for reporting retail investor abuse
Whistleblowers repeatedly reported alleged violations internally before providing a tip to the SEC
- By: James Langton
- June 3, 2019 November 13, 2019
- 13:38
Former rep gets four-year trading ban for high closing
Rep admitted to making late-day trades in a venture stock on behalf of a client
- By: James Langton
- June 3, 2019 November 13, 2019
- 13:05