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
Latest news in From the Regulators
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
Urging consistency nationally
IAP wants regulatory sanctions against individuals to apply across regional and industry jurisdictions
- By: James Langton
- March 8, 2019 November 13, 2019
- 15:17
DoJ touts record effort at combatting elder fraud
Cases include tech-support fraud schemes
- By: James Langton
- March 7, 2019 November 13, 2019
- 14:18
ESMA finds leverage, liquidity risks in the alt funds sector
The risks are identified in hedge and real estate funds
- By: James Langton
- March 7, 2019 November 13, 2019
- 13:41
FCA finds crypto buyers are clueless but largely harmless
The U.K. regulator publishes its first-ever research on consumer attitudes to cryptoassets
- By: James Langton
- March 7, 2019 November 13, 2019
- 11:35
Global banking regulators name a new boss
The new chairman starts a three-year term
- By: James Langton
- March 7, 2019 November 13, 2019
- 10:27
U.S. DoJ settles accounting, securities fraud charges with firm
The company will pay US$28 million as part of a non-prosecution agreement
- By: James Langton
- March 6, 2019 November 13, 2019
- 16:55
NASAA calls on Congress to put retail investors first
The group also called for fintech regulation
- By: James Langton
- March 6, 2019 November 13, 2019
- 13:21
BCSC warns of investment fraud blind spots
Fewer than half of Canadians recognize all the warning signs, a survey says
- By: IE Staff
- March 5, 2019 November 13, 2019
- 15:43
B.C. boosting ability to seize proceeds of crime
Proposals would make it easier to track funds before they're sent offshore
- By: James Langton
- March 5, 2019 November 13, 2019
- 15:20
MFDA warns dealers about conflicts created by fundco promos
A review of dealers' policies on promotional incentives reveals gaps and shortcomings
- By: James Langton
- March 5, 2019 November 13, 2019
- 13:23