MFDA bans former Investia rep
Ontario advisor referred clients to invest in syndicated mortgages off book
- By: James Langton
- October 23, 2018 November 13, 2019
- 14:49
Latest news in From the Regulators
SEC’s market data fee rulings credit negative for U.S. cash equities’ exchange operators
There is an increased possibility that legal challenges will be successful, Moody’s report says
- By: James Langton
- October 22, 2018 November 13, 2019
- 12:10
SEC launches new strategic fintech hub
The innovation hub replaces a number of SEC working groups
- By: James Langton
- October 19, 2018 November 13, 2019
- 15:00
CSA issues guidance regarding disruption of mail service
Stakeholders should consult with their local regulators
- By: Anne-Marie Vettorel
- October 19, 2018 November 13, 2019
- 14:05
Repeat offender sentenced to jail
Ontario woman guilty of selling fraudulent promissory notes
- By: James Langton
- October 19, 2018 November 13, 2019
- 12:10
More clarity needed on client-focused reforms: IIAC
Industry group calls for joint CSA/SRO committee to receive feedback and guidance
- By: James Langton
- October 19, 2018 November 13, 2019
- 10:30
CSA outlines market disruption co-ordination process
Today’s notice sets out the responsibilities of industry firms and regulators in dealing with a market disruption
- By: James Langton
- October 18, 2018 November 13, 2019
- 11:30
OSC seeks applications for securities proceedings advisory committee
Applicants should have an excellent knowledge of Ontario securities law and significant practice experience in securities litigation
- By: James Langton
- October 17, 2018 November 13, 2019
- 16:15
Basel Committee issues final stress testing principles
Revisions designed to address key weaknesses exposed by the financial crisis
- By: James Langton
- October 17, 2018 November 13, 2019
- 15:10
SEC overturns previous ruling in market data fees case
NYSE Arca and Nadaq failed to prove fees challenged by SIMFA were fair
- By: James Langton
- October 17, 2018 November 13, 2019
- 10:45
Former Winnipeg rep fined $100,000
One client lost $30,000 and another lost $212,000 as a result of advisor’s misconduct
- By: James Langton
- October 16, 2018 November 13, 2019
- 15:30
BCSC adds two calculators to investor education website
Return on investment and investment growth calculators help investors understand key concepts
- By: IE Staff
- October 15, 2018 November 13, 2019
- 17:25
FCA opens a discussion on the impact of climate change and green finance on financial services
Discussion paper seeks input of for key areas
- By: James Langton
- October 15, 2018 November 13, 2019
- 15:45
SEC strategic plan puts retail investors at top
The new plan will guide the U.S. regulator’s work over the next four years
- By: James Langton
- October 12, 2018 November 13, 2019
- 15:45
Passage of Bill 67 strengthens investor protection in Nova Scotia
Nova Scotia joins two other provinces in giving IIROC full enforcement toolkit
- By: James Langton
- October 12, 2018 November 13, 2019
- 11:17
OSC fines eToro $500,000 for trading without registration
The Cyprus-based firm allowed Ontario investors to trade contracts for difference
- By: James Langton
- October 11, 2018 November 13, 2019
- 13:30
Global regulators taking a tougher stance on ESG issues
Business ethics and climate change are the primary focus of increased regulation for the financial sector
- By: James Langton
- October 11, 2018 November 13, 2019
- 11:15
AMF seeks comment on alternative distribution regulations
Proposed framework for the sale of insurance online meant to be flexible
- By: James Langton
- October 10, 2018 November 13, 2019
- 17:30
NASAA cracks down on unregistered offenders
State securities regulators place increased focus on cryptoassets
- By: James Langton
- October 10, 2018 November 13, 2019
- 16:00
CSA highlights shortcomings with cannabis industry disclosure
Many companies did not provide sufficient disclosure about the risks related to their U.S. operations
- By: James Langton
- October 10, 2018 November 13, 2019
- 13:00
Cryptoassets pose no risk to global financial stability at this time
Policy-makers urged to monitor the speed of market developments
- By: James Langton
- October 10, 2018 November 13, 2019
- 11:50
OSFI seeks input on revisions to interest rate risk guideline
Interest rate risk can affect the safety and soundness of financial institutions
- By: James Langton
- October 5, 2018 November 13, 2019
- 15:00
OSC hearing will consider allegations of unregistered trading in CFDs
Commission alleges eToro opened accounts for investors in Ontario to trade CFDs based on cryptocurrencies and stocks
- October 5, 2018 November 13, 2019
- 14:04