FINRA seeks input on “customer recovery”
The U.S. self-regulatory organization is looking to improve arbitration payouts to clients
- By: James Langton
- February 9, 2018 November 5, 2019
- 17:15
Latest news in From the Regulators
B.C. man and partnership committed fraud: BCSC
Panel finds foreign nine exchange investors were defrauded of $1.4 million
- By: IE Staff
- February 9, 2018 November 5, 2019
- 14:45
CSA affirms disclosure policy for cannabis firms with U.S. ties
Regulators release additional disclosure expectations for companies
- By: The Canadian Press
- February 8, 2018 November 5, 2019
- 19:30
Canadian, French regulators sign fintech agreement
Co-operation deal aims to allow fintech firms to extend their global reach and actively learn from each other
- By: James Langton
- February 8, 2018 November 5, 2019
- 09:30
OSC introduces fintech advisory committee members
Members represent a a broad spectrum of the fintech community, from startups to financial institutions
- By: James Langton
- February 7, 2018 November 5, 2019
- 14:25
ESMA tackles CCP conflicts of interest
Central counterparties should consider potential conflicts in various relationships
- By: James Langton
- February 7, 2018 November 5, 2019
- 13:30
SEC announces 2018 compliance exam priorities
The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution
- By: James Langton
- February 7, 2018 November 5, 2019
- 12:30
No action needed on Alpha speed bumps: OSC
A report from the regulator echoes the conclusion of a earlier report from IIROC
- By: James Langton
- February 6, 2018 November 5, 2019
- 17:50
OSFI extends NSFR implementation timeline
Net Stable Funding Ratio rule pushed to 2020
- By: James Langton
- February 6, 2018 November 5, 2019
- 15:15
Regulators urged to address risk posed by cryptocurrencies
Extreme price volatility, high transaction costs and a lack of investor protection make cryptocurrencies unsafe
- By: James Langton
- February 6, 2018 November 5, 2019
- 12:30
BCSC panel fines, bans B.C. woman for fraud
Lynne Rae Nickford ordered to pay $300,000 administrative penalty and disgorgement
- By: James Langton
- February 5, 2018 November 5, 2019
- 15:30
New FINRA rules protect seniors and vulnerable adults from financial exploitation
Uniform standards to protect U.S. investors take effect
- By: James Langton
- February 5, 2018 November 5, 2019
- 14:00
IIROC seeks info on supervisors
The request follows recent changes to the self-regulatory organization’s continuing education rules
- February 5, 2018 November 5, 2019
- 12:10
SROs focus on key issues
Are firms shifting clients into lower-cost funds as appropriate?
- By: James Langton
- February 5, 2018 November 5, 2019
- 00:22
FSCO issues $1.1 million in fines over syndicated mortgages
Four firms fined, several individual mortgage brokers’ licenses revoked
- By: Megan Harman
- February 2, 2018 November 5, 2019
- 13:30
Ontario couple charged with securities offences
The allegations relate to the sale of over $800,000 worth of securities in MultiCast Networks
- By: Leah Golob
- February 2, 2018 November 5, 2019
- 11:20
IOSCO issues guidance for investment funds
Global regulators publish recommendations and best practices for improving liquidity risk management
- By: James Langton
- February 1, 2018 November 5, 2019
- 14:15
Regulatory uncertainty a challenge for Canada’s financial services industry
There will be new leadership at some of the world’s most important regulatory bodies by the end of 2018
- By: James Langton
- January 31, 2018 November 5, 2019
- 14:30
SEC halts initial coin offering
Court approves emergency asset freeze on Dallas-based AriseBank
- By: James Langton
- January 30, 2018 November 5, 2019
- 15:30
IIROC calls for nominations to fixed income advisory committee
The FIAC makes recommendations to IIROC staff about proposed initiatives relating to fixed income trading
- By: James Langton
- January 30, 2018 November 5, 2019
- 15:15
Improvements to CRM2 compliance needed: MFDA
The “majority” of dealers are disclosing DSCs adequately, but some reported DSCs and trailer fees bundled together, new MFDA report finds
- By: James Langton
- January 30, 2018 November 5, 2019
- 14:19
Saskatchewan investors warned not to invest with USI-Tech
The Dubai-based firm trading plaform is not registered to trade securities in the province
- By: James Langton
- January 29, 2018 November 5, 2019
- 14:20
NBF fined $700,000 for ETF disclosure failings
The dealer has implemented controls to prevent a similar issue from occurring in the future
- By: James Langton
- January 26, 2018 November 5, 2019
- 16:55