Scotiabank to pay US$800,000 penalty for spoofing precious metals trades: CFTC
The bank’s penalty was substantially reduced in recognition of its self-reporting and co-operation
- By: James Langton
- October 2, 2018 November 13, 2019
- 10:30
Latest news in From the Regulators
FINRA to consolidate examination and risk monitoring programs
The regulator expects the new structure to increase compliance efficiency and effectiveness
- By: James Langton
- October 1, 2018 November 13, 2019
- 15:50
FINRA streamlines examination process for candidates entering U.S. securities Industry
Regulator launches SIE exam
- By: James Langton
- October 1, 2018 November 13, 2019
- 10:15
Credit reporting act aims to provide clarity and protection for N.B. consumers
The legislation sets out rules and restriction in areas such as contract cancellation and charging advance fees to consumers
- By: James Langton
- October 1, 2018 November 13, 2019
- 10:00
FSCO issues guideline on treating consumers fairly
New guideline applies to four Ontario-regulated sectors
- By: James Langton
- October 1, 2018 November 13, 2019
- 07:00
Ontario advisor sentenced to six months in jail
Court orders Daniel Tiffin to pay restitution to clients who purchased promissory notes
- By: James Langton
- September 28, 2018 November 13, 2019
- 15:00
OSC calls for new members for RAC
The committee serves as a forum to discuss issues and challenges faced by dealers and fund managers
- September 28, 2018 November 13, 2019
- 14:30
ESMA to renew restrictions on CFDs for a further three months
A significant investor protection concern continues to exist
- By: James Langton
- September 28, 2018 November 13, 2019
- 14:10
Insurance regulators release final guidance on fair treatment of customers
Document outlines key principles that regulators expect insurers and intermediaries to engrain into their daily practices
- By: James Langton
- September 27, 2018 November 13, 2019
- 17:00
Prospect of gender parity remains distant
218 of the 648 companies reviewed still don’t have single woman on their board
- By: James Langton
- September 27, 2018 November 13, 2019
- 12:35
Progress made in addressing financial data gaps: report
There has been progress in shadow banking monitoring and reporting data on global systemically important banks
- By: James Langton
- September 27, 2018 November 13, 2019
- 10:00
NASAA elects millennial president
Vermont’s Michael Pieciak succeeds Joseph Borg
- September 26, 2018 November 13, 2019
- 17:15
OSC seeks permanent ban against former advisor sentenced for fraud
Daniel Reeve was found guilty of defrauding victims of $10 million through several Ponzi schemes
- By: James Langton
- September 26, 2018 November 13, 2019
- 17:00
ASC reveals policy conference agenda, speakers
The second-annual ASC Connect conference will take place Oct. 9
- By: James Langton
- September 26, 2018 November 13, 2019
- 16:25
Momentum building for climate-related financial disclosures
Task Force publishes first status report
- By: James Langton
- September 26, 2018 November 13, 2019
- 12:00
OSC calls for applications to Investor Advisor Panel
Members will be selected to represent a broad range of relevant experience, skills, knowledge and perspectives
- By: James Langton
- September 26, 2018 November 13, 2019
- 11:30
IIROC announces board members for 2018-2019
Paul Allison of Raymond James elected chairman
- By: IE Staff
- September 26, 2018 November 13, 2019
- 11:00
SEC awards almost US$4 million to overseas whistleblower
The anonymous tipster furnished extensive assistance which helped the U.S. regulator bring a successful enforcement action in the case
- By: James Langton
- September 25, 2018 November 13, 2019
- 17:30
IIROC fines CIBCWM and B.C. branch manager for failing to supervise advisor
The advisor later admitted to making unsuitable recommendations to clients
- By: James Langton
- September 25, 2018 November 13, 2019
- 16:15
Australia cracks down on initial coin offerings
ASIC has prevented five proposed ICOs from raising capital without appropriate investor protections
- By: James Langton
- September 20, 2018 November 13, 2019
- 15:00
BCSC to extend use of electronic filing
Amendments would require investment funds to file annual reports electronically
- By: James Langton
- September 20, 2018 November 13, 2019
- 14:50
OSFI publishes revised corporate governance guidance
Document sets out expectations for boards of directors of federally regulated financial institutions
- By: James Langton
- September 19, 2018 November 13, 2019
- 10:30
NASAA warns investors to watch for scams in Florence’s wake
Scam artists may linger long after the storm has passed
- By: James Langton
- September 18, 2018 November 13, 2019
- 15:22