Fund manager asks OSC for public debate on Bitcoin fund
3iQ argues the regulator set tougher standards for its fund in terms of valuation, custody and liquidity
- By: James Langton
- March 19, 2019 November 13, 2019
- 11:15
Latest news in From the Regulators
Fund dealers face more phishing
MFDA warns dealers not to click on links in suspicious emails
- By: James Langton
- March 18, 2019 November 13, 2019
- 17:38
MX seeks candidates for disciplinary committees
Members would hear complaints and make decisions regarding settlement offers
- By: James Langton
- March 18, 2019 November 13, 2019
- 12:13
FDIC settles with PwC over bank that failed in 2009
Alabama-based Colonial Bank had acquired hundreds of millions of dollars worth of fraudulent mortgages
- By: James Langton
- March 15, 2019 November 13, 2019
- 14:12
CSA provides guidance to trading venues on reporting systems failures
The guidance outlines the types of incidents that must be reported, and what reports should include
- By: James Langton
- March 15, 2019 November 13, 2019
- 13:41
CSA proposes tweaks to syndicated mortgage reforms
The new proposals set out registration and prospectus exemptions in several provinces
- By: James Langton
- March 15, 2019 November 13, 2019
- 13:12
SEC charges Volkswagen, former CEO with defrauding investors
The charges come two years after the automaker settled with the U.S. over criminal and civil charges
- By: The Associated Press
- March 15, 2019 November 13, 2019
- 11:44
MFDA seeks governance reforms
The SRO said the proposed changes would enhance the independence of its governance committee
- By: James Langton
- March 14, 2019 November 13, 2019
- 16:30
Hong Kong regulators hit underwriters with hefty fines
Four investment firms cited for lax due diligence efforts
- By: James Langton
- March 14, 2019 November 13, 2019
- 15:56
CSA proposes rule to prevent manipulation of benchmarks
Regulator says misconduct has "led to significant negative impacts"
- By: James Langton
- March 14, 2019 November 13, 2019
- 15:33
CSA, IIROC propose framework to regulate cryptoasset trading
Structure would be based on existing rules for conventional securities trading venues
- By: James Langton
- March 14, 2019 November 13, 2019
- 13:44
FCA seeks to ease switching and boost competition
The new rules being proposed would make it easier for consumers to switch firms
- By: James Langton
- March 14, 2019 November 13, 2019
- 12:16
U.S. firm settles allegations that it failed to detect rep’s role in a securities fraud
The SEC says the rep was involved in a penny stock market manipulation scheme between 2008 and 2014
- By: James Langton
- March 14, 2019 November 13, 2019
- 09:17
Securities recidivist and former fugitive gets jail time
The man was arrested last fall after a joint effort from B.C. and Ontario regulators
- By: James Langton
- March 13, 2019 November 13, 2019
- 13:31
Regulators set guidance for banks’ cryptoasset exposures
Crypotassets are a volatile, immature asset class, Basel Committee says
- By: James Langton
- March 13, 2019 November 13, 2019
- 11:25
Fed bans ex-Goldman bankers in Malaysian fund scandal
Two former senior investment bankers have been banned permanently from the U.S. banking industry
- By: James Langton
- March 12, 2019 November 13, 2019
- 15:44
Retail trading practices face regulators’ scrutiny
The CSA and IIROC seek feedback on the impact of internalization on Canadian equity markets
- By: James Langton
- March 12, 2019 November 13, 2019
- 13:32
U.K. regulators tackling financial sector risks from climate change
Membership in new group includes banks, insurers and asset managers
- By: James Langton
- March 12, 2019 November 13, 2019
- 13:25
ASIC scolds firms for slow reviews of systemic advice failures
The regulator plans to take action against firms that engaged in misconduct
- By: James Langton
- March 12, 2019 November 13, 2019
- 12:05
Auditor, regulator convicted of cheating oversight process
Convictions stem from a scheme to access confidential information about audits
- By: James Langton
- March 12, 2019 November 13, 2019
- 11:22
SEC settles with scores of firms that admitted trailer fee disclosure failures
The firms admitted to failing to properly disclose ongoing mutual fund fees to clients
- By: James Langton
- March 11, 2019 November 13, 2019
- 17:24
ASC settles with lawyer over alleged market manipulation scheme
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
- By: James Langton
- March 11, 2019 November 13, 2019
- 15:41
BCSC panel orders “pump-and-dump” backers banned, fined
Sanctions ordered against three people and a firm
- By: James Langton
- March 11, 2019 November 13, 2019
- 14:16
U.S. court sanctions offshore Bitcoin-based CFD firm
Regulator orders almost US$1 million in sanctions, disgorgement and restitution
- By: James Langton
- March 11, 2019 November 13, 2019
- 12:29
CSA eyes trading fees
Regulator plans to study the effects of curbing trading venues’ fee/rebate structures
- By: James Langton
- March 8, 2019 November 13, 2019
- 15:19