FINRA sanctions firm for failing to supervise short selling
Firm fined US$2 million
- By: James Langton
- March 5, 2019 November 13, 2019
- 10:52
Latest news in From the Regulators
Regulators issue guidance on final adoption of margin rules for derivatives markets
Implementation to take place through to 2020
- By: James Langton
- March 5, 2019 November 13, 2019
- 10:21
CFTC pays millions to tipster for number crunching that led to enforcement action
Reward is more than US$2 million
- By: James Langton
- March 4, 2019 November 13, 2019
- 16:11
OSC announces hearings, internal work at cutting red tape
Major industry groups, SROs and investor advocates are expected to participate in the roundtable
- By: James Langton
- March 4, 2019 November 13, 2019
- 15:39
B.C. man gets three months in jail for violating securities ban
He'll serve the sentence consecutively with a three-and-a-half-year sentence for fraud charges
- By: IE Staff
- March 4, 2019 November 13, 2019
- 15:02
OSC urged to cut regulatory burdens, not investor protections
Initial feedback to proposals generally positive
- By: James Langton
- March 4, 2019 November 13, 2019
- 12:29
SIFMA opposes state fiduciary standards
U.S. securities industry lobbyists say developing standards at the state level will result in conflicting requirements
- By: James Langton
- March 1, 2019 November 13, 2019
- 15:42
MSC warns investors about sketchy trading platform
The Manitoba regulator says a Bulgaria-based company is promising guaranteed returns
- By: James Langton
- March 1, 2019 November 13, 2019
- 15:37
Two new members for ASC
Each will serve three-year terms
- By: IE Staff
- March 1, 2019 November 13, 2019
- 13:04
OSFI warns of phony regulator scam
The federal regulator says it's aware of attempts to obtain personal information under false pretenses
- By: James Langton
- February 28, 2019 November 13, 2019
- 15:40
Basel Committee to issue guidance on crypto
Cites high risks with the assets
- By: James Langton
- February 28, 2019 November 13, 2019
- 12:43
FCA calls on asset managers to improve cost disclosure
Asset managers may be communicating with customers in a manner that is "unfair, unclear or misleading," report says
- By: James Langton
- February 28, 2019 November 13, 2019
- 10:26
Elder financial abuse is growing rapidly, U.S. consumer agency warns
A report finds that suspected exploitation quadrupled between 2013 and 2017
- By: James Langton
- February 27, 2019 November 13, 2019
- 16:31
OSC appoints two new commissioners
Heather Zordel and Mary Anne De Monte-Whelan will each serve a two-year term
- By: James Langton
- February 27, 2019 November 13, 2019
- 14:23
USMCA trade deal in the spotlight at NASAA’s spring conference
Policy conference will be May 20
- By: James Langton
- February 27, 2019 November 13, 2019
- 11:38
Tipsters collect $7.5 million in first-ever payouts under OSC bounty program
The rewards were for three separate cases
- By: James Langton
- February 27, 2019 November 13, 2019
- 10:58
Bank of Canada unveils benchmark reform proposals
A consultation paper proposes changes to the risk-free overnight rate, known as CORRA
- By: James Langton
- February 26, 2019 November 13, 2019
- 15:53
MFDA restocking policy committee
The organization is accepting applications until March 22
- By: James Langton
- February 26, 2019 November 13, 2019
- 10:07
FSB examining effect of financial reforms on SMEs
The review will look at how post-crisis reforms have impacted financing
- By: James Langton
- February 25, 2019 November 13, 2019
- 15:22
ASC bans and fines fraudsters for Ponzi scheme
Fines and disgorgement total more than $4 million
- By: IE Staff
- February 25, 2019 November 13, 2019
- 14:48
Derivatives regulators prep for Brexit
Their aim is to ensure that trading and clearing isn't disrupted
- By: James Langton
- February 25, 2019 November 13, 2019
- 10:22
U.S. regulators ban former banker over hiring scheme
He must also cooperate in enforcement action against other individuals involved
- By: James Langton
- February 22, 2019 November 13, 2019
- 16:54
Victims, regulators recover millions from Bossteam Ponzi scheme
The BCSC says it has collected $4.8 million in penalties
- By: James Langton
- February 22, 2019 November 13, 2019
- 13:56
IIROC calls for candidates to sit on district councils
Candidates must be officers or employees of a dealer
- By: James Langton
- February 22, 2019 November 13, 2019
- 10:16
Regulators refuse proposed Bitcoin fund amid investor protection concerns
Decision raises liquidity and custody issues
- By: James Langton
- February 22, 2019 November 13, 2019
- 09:25