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
Latest news in From the Regulators
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
Updated: OSC approves $1-million settlement with NextBlock
Alex Tapscott also settled with the SEC, paying a $25,000 civil penalty
- By: James Langton
- May 13, 2019 November 13, 2019
- 15:15
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
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