Regulators launch co-ordinated probe of cryptocurrency fraud
More than 40 provincial and state regulators are involved with Operation Cryptosweep
- May 22, 2018 November 13, 2019
- 12:00
Latest news in From the Regulators
OSC warns investors about unregistered cryptocurrency groups
Regulator singles out five firms in investor alert
- By: James Langton
- May 18, 2018 November 13, 2019
- 12:30
BCSC issues cryptocurrency alert
Investors advised to exercise caution
- By: James Langton
- May 17, 2018 November 13, 2019
- 15:10
Court overturns advisor’s acquittal
Ontario advisor violated securities rules by borrowing funds from several insurance clients
- By: IE Staff
- May 17, 2018 November 13, 2019
- 11:00
AMF seeks candidates for its technology advisory committee
The committee provides the AMF with input on technological innovation in the financial sector
- By: James Langton
- May 16, 2018 November 13, 2019
- 15:30
Proprietary product sales a cause for concern: Canoe CEO
Darcy Hulston posits that regulators may eventually crack down on the practice of advisors selling products their firms manufacture
- By: Megan Harman
- May 14, 2018 November 13, 2019
- 16:09
BCSC panel sanctions man and partnership for fraud
Ping Bai and RBP Consulting received $1.53 million from investors who were told their funds would be invested in foreign exchange trading
- May 14, 2018 November 13, 2019
- 15:48
CCMR delayed again
Depending on an upcoming Supreme Court of Canada ruling, the participating governments will update the timing of the new regulator’s launch
- By: James Langton
- May 14, 2018 November 13, 2019
- 11:30
Canada to host global tax conference next week
Government officials will discuss best practices in tax administration and efforts against tax evasion with global counterparts
- By: Rudy Mezzetta
- May 11, 2018 November 13, 2019
- 12:00
Kari Horn appointed ASC vice chairwoman
Former general counsel a depth and breadth of knowledge of securities laws and regulatory matters to her new role
- By: James Langton
- May 10, 2018 November 13, 2019
- 15:35
NBF fined $110,000 for supervision failure
Advisor did not comply with the dealer’s own guidelines for leveraged ETFs
- By: James Langton
- May 9, 2018 November 13, 2019
- 18:00
IIROC provided numerous exemptions from its own rules in 2017
Regulator reports that it received 324 proficiency exemption applications last year
- By: James Langton
- May 8, 2018 November 13, 2019
- 15:15
FCAA warns investors of “reload scheme”
Saskatchewan regulator issues cease-trade order
- By: James Langton
- May 7, 2018 November 13, 2019
- 15:40
Big Rock Labs founder fined $100,000 for manipulative trading
Trading in multiple accounts created a misleading appearance of market activity
- By: James Langton
- May 7, 2018 November 13, 2019
- 15:15
Michael Piwowar stepping down from SEC
Piwowar briefly served as acting SEC chairman
- By: James Langton
- May 7, 2018 November 13, 2019
- 14:30
OSC requests applications for continuous disclosure advisory committee
The deadline for applications is May 28
- By: James Langton
- May 7, 2018 November 13, 2019
- 11:51
FSB consults on using compensation data to prevent financial industry misconduct
The recommendations seek to assist regulators’ oversight of the effectiveness of compensation tools in addressing misconduct risk
- By: James Langton
- May 7, 2018 November 13, 2019
- 11:00
ASC gives green light to no-contest settlements
Enforcement tool enables regulators to resolve cases more quickly
- By: James Langton
- May 4, 2018 November 13, 2019
- 15:17
IIROC reports decline in enforcement activity for 2017
The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having…
- By: James Langton
- May 4, 2018 November 13, 2019
- 12:10
MFDA fines, bans former mutual fund rep
David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”
- By: James Langton
- May 4, 2018 November 13, 2019
- 10:04
Regulators issue proposed guidance for insurers, advisors
Proposal aims to “foster discussions between regulators, insurers and intermediaries on market conduct”
- By: Megan Harman
- May 3, 2018 November 13, 2019
- 17:06
Report highlights significant increase in MFDA enforcement activity
Monetary sanctions levied against both mutual fund dealers and mutual fund advisors totalled $8.5 million in 2017
- By: James Langton
- May 3, 2018 November 13, 2019
- 13:40
Some CCPs still lag on risk management and recovery planning
Regulators call on central counterparties to maintain sufficient liquidity
- By: James Langton
- May 3, 2018 November 13, 2019
- 11:00
SEC launches additional investor protection search tool
SALI aims to better equip investors to protect themselves against fraud
- By: James Langton
- May 2, 2018 November 13, 2019
- 16:00
ECB publishes framework for testing resilience to cyber attacks
TIBER-EU aims to mimic the tactics, techniques and procedures of real hackers
- May 2, 2018 November 13, 2019
- 11:50