Millennials face significant obstacles to investing: study
Six principles aim to better engage millennials in investing
- By: James Langton
- July 12, 2018 November 13, 2019
- 12:43
Latest news in From the Regulators
OSC orders executives to pay millions in penalties in Sino-Forest case
The company and several of its top executives defrauded investors and misled investigators in one of Canada’s largest corporate fraud cases
- By: The Canadian Press
- July 11, 2018 November 13, 2019
- 10:27
CSA enhances enforcement efforts
2017/18 report shows how regulators work collaboratively to address violators
- By: James Langton
- July 10, 2018 November 13, 2019
- 12:00
IIROC requests nominations for market rules advisory committee
The MRAC provides advice to IIROC staff about possible changes to trading rules, guidance and other market regulation issues
- By: James Langton
- July 9, 2018 November 13, 2019
- 15:38
MFDA readies second edition of client research project
A mandatory data request to mutual fund dealers will be issued this fall
- By: James Langton
- July 9, 2018 November 13, 2019
- 15:05
MFDA launches outreach program
The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors
- By: James Langton
- July 9, 2018 November 13, 2019
- 11:40
OSFI seeks comment on revisions to CAR guideline
The revised capital adequacy guideline for banks would take effect in Q1 2019
- By: James Langton
- July 6, 2018 November 13, 2019
- 14:30
MFDA bans Ontario fund dealer, two brothers
International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules
- By: James Langton
- July 6, 2018 November 13, 2019
- 10:45
Basel Committee revises G-SIB assessment methodology
The changes intro introduce a trading volume indicator for assessing big banks
- By: James Langton
- July 5, 2018 November 13, 2019
- 15:20
OSC stresses support for investor protection
In its annual statement of priorities, regulator reinforces its commitment to CSA’s proposed reforms and bolstering banking ombudsman
- By: James Langton
- July 5, 2018 November 13, 2019
- 12:00
Fraudster using fake FSCO form
Ontario regulator issues warning to consumers
- July 5, 2018 November 13, 2019
- 10:42
MFDA passes oversight review
CSA says self-regulatory organization meets terms and conditions of its recognition order
- By: James Langton
- July 4, 2018 November 13, 2019
- 11:50
OSC announces continuous disclosure advisory committee members
Committee members include Catherine McCall, the newly named head of the Canadian Coalition for Good Governance
- By: James Langton
- July 4, 2018 November 13, 2019
- 10:50
IOSCO seeks feedback on proposed good practices for commodities storage and delivery
Proposals aim create a framework that provides incentives to firms and regulators to adopt best practices
- By: James Langton
- July 4, 2018 November 13, 2019
- 10:23
MFDA bans former Ontario rep
The former advisor misappropriated client funds and and and created fictitious account statements
- By: James Langton
- July 4, 2018 November 13, 2019
- 09:00
Canada joins international tax-crime fighting group
Tax enforcement authorities in five countries to work together to fight tax crimes, money laundering and cybercrime
- By: Rudy Mezzetta
- July 3, 2018 November 13, 2019
- 15:50
Regulators campaign against cryptocurrency and initial coin offering fraud
CSA report highlights investor education activities
- By: James Langton
- July 3, 2018 November 13, 2019
- 14:15
FCA reveals the fourth round of participants in its regulatory sandbox
The list of successful firms includes Fineqia International
- By: James Langton
- July 3, 2018 November 13, 2019
- 12:32
FSB consults on cyber lexicon
The goal is to establish a set of core terms related to cybersecurity and resilience in the financial sector
- By: James Langton
- July 3, 2018 November 13, 2019
- 11:50
B.C. court approves plan to return US$3.5 million to defrauded investors
The BCSC had sought court approval to appoint a receiver to administer a claims process for funds the regulator had frozen
- By: James Langton
- June 29, 2018 November 13, 2019
- 16:12
CFTC report finds sharp price movements have not increased
Such sharp price movements are “linked to volatility, market fundamentals, and news and data releases”
- By: James Langton
- June 29, 2018 November 13, 2019
- 14:16
Whistleblower program sparks enforcement action
OSC’s offer of financial compensation has generated 200 tips resulting in several active investigations
- By: James Langton
- June 29, 2018 November 13, 2019
- 11:23
SEC proposes amendments to whistleblower rules
The updated rules would be designed to make it easier to pay financial rewards to tipsters
- By: James Langton
- June 28, 2018 November 13, 2019
- 20:20
SEC, CFTC sign updated MOU
The revised agreement is aimed at addressing issues such as the regulation of swamps and security-based swaps
- By: James Langton
- June 28, 2018 November 13, 2019
- 20:12
Lutheran Church accused of securities violations in failed housing investment
Operators of the long-running investment program failed to tell investors how the money was being used or at what risk
- By: The Canadian Press
- June 28, 2018 November 13, 2019
- 15:47