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
Latest news in From the Regulators
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
IIROC inches closer to introducing client identifiers on trades
The SRO has launched a second consultation on the proposals, which may have “significant impacts” on the investment industry
- By: James Langton
- June 28, 2018 November 13, 2019
- 13:43
Cryptoasset owners have poor understanding of the investment
The top reason among investors for buying into cryptoassets was interest in new technologies followed by speculation
- By: James Langton
- June 28, 2018 November 13, 2019
- 13:30
Tax gap could be costing billions
Latest CRA study finds government could be losing up to 2.2% of individual tax revenue through offshore tax evasion
- By: Rudy Mezzetta
- June 28, 2018 November 13, 2019
- 12:25
OSFI to revise guidance on accounting rules
The new accounting rules that come into effect on Jan. 1, 2021 will have an impact on the capital rules for life and P&C insurers
- By: James Langton
- June 27, 2018 November 13, 2019
- 14:13
IIROC fines and bans former trader permanently
Robert Sole took a job with a proprietary trading firm while suspended, violating the terms of a 2016 settlement agreement
- By: James Langton
- June 26, 2018 November 13, 2019
- 15:31
Firms unprepared for benchmark reform: report
Only 12% of global financial firms have started planning for move from LIBOR toward new benchmarks
- By: James Langton
- June 25, 2018 November 13, 2019
- 15:45
European regulators warn of Brexit-related risks
Financial services firms in the EU and the U.K. must identify potential risks and exposures stemming from the departure of the U.K. without an agreement
- By: James Langton
- June 25, 2018 November 13, 2019
- 15:39
ASC launches “new economy” division
New division will co-ordinate regulator’s work in enabling new-economy companies to raise capital
- By: James Langton
- June 25, 2018 November 13, 2019
- 13:20
IIROC to provide further guidance on conflicts of interest
The SRO also plans to review the regulation of advice to ensure the rules enable innovation in the industry
- By: James Langton
- June 25, 2018 November 13, 2019
- 13:03
OSFI publishes details of capital buffers for big banks
The federal banking regulator will review the buffer on a semi-annual basis, with the first review slated for December 2018
- By: James Langton
- June 25, 2018 November 13, 2019
- 12:10
MFDA approves settlement with Equity Associates
Mutual fund dealer fined $125,000 for compliance failings
- By: IE Staff
- June 22, 2018 November 13, 2019
- 14:30
MFDA strategic plan focuses on three key priorities
The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors
- By: IE Staff
- June 19, 2018 November 13, 2019
- 16:45
CSA urges Canadians to watch for signs of financial abuse of older Canadians
The effects of financial abuse frequently go well beyond the pocketbook
- By: IE Staff
- June 18, 2018 November 13, 2019
- 06:00
Ben Cheng to pay $400,000 in Amaya insider tipping settlement
Former Aston Hill fund manager agrees to testify as a witness for the OSC
- By: James Langton
- June 15, 2018 November 13, 2019
- 15:25
FINRA initiative aims to transform registration
New technology will lead to enhanced efficiencies and reduced compliance costs for firms
- By: James Langton
- June 15, 2018 November 13, 2019
- 11:00
OSC alleges Caldwell failed to fulfill its best execution obligations
Regulator to consider allegations against portfolio and investment manager at July 3 hearing
- By: James Langton
- June 15, 2018 November 13, 2019
- 07:00
Quebec government passes Bill 141
The legislation will boost the ability of self-regulatory organizations to carry out their mandates
- By: James Langton
- June 14, 2018 November 13, 2019
- 16:45