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
Latest news in From the Regulators
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
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
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