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
Latest news in From the Regulators
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
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