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
Latest news in From the Regulators
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
MFDA’s CE rules get OSC approval
SRO wants to ensure fund reps' skills and industry knowledge remain up to date
- By: James Langton
- September 26, 2019 November 13, 2019
- 16:03
CSA rules on incentives inadequate, IOSCO finds
The shortcomings may be addressed through the CSA's client-focused reforms
- By: James Langton
- September 26, 2019 November 13, 2019
- 12:55
Central bankers go green
The Bank for International Settlements has launched a climate-friendly fund for central banks' reserves
- By: James Langton
- September 26, 2019 November 13, 2019
- 11:27
MFDA reviewing rules, requirements
Areas where future regulatory policy is expected include cybersecurity and protecting seniors
- By: James Langton
- September 25, 2019 November 13, 2019
- 17:09
Massive industry hack ends in guilty plea
U.S. attorney says the plea ends a "global reign of computer intrusion"
- By: James Langton
- September 24, 2019 November 13, 2019
- 14:38
Leverage, structured product risks lurk, ESMA says
A new study examines the fund industry's exposure to these risks
- By: James Langton
- September 24, 2019 November 13, 2019
- 13:27
OSC unveils new industry committee on trading policy
The members of the Market Structure Advisory Committee were announced on Tuesday
- By: James Langton
- September 24, 2019 November 13, 2019
- 11:54
Ex-banker convicted for tipping M&A deals
The man tipped his father about corporate acquisitions before they were made public
- By: James Langton
- September 24, 2019 November 13, 2019
- 09:04