Latest news in From the Regulators

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IIROC settles trading violation case with RBC, Scotia and TD

The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.

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Investors can be whistleblowers too, SEC says

A sports auction site allegedly required investors to sign an agreement stating they would not report violations to the SEC

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B.C. court appoints receiver for crypto platform Einstein Exchange

The BCSC took action when customers on the unregistered exchange couldn't access their assets

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Global cryptos could be securities, IOSCO says

So-called "stablecoins" need to be evaluated on a case-by-case basis, global regulators say

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Canada tapped to host global banking event

The conference will focus on global regulatory issues tied to the banking industry

  • By: IE Staff
  • October 31, 2019 November 13, 2019
  • 13:38

IIROC launches crypto advisory group

The members will provide the SRO with policy advice

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ISS sues SEC over guidance on proxy advice

Proxy advisory firm claims guidance is "arbitrary and capricious"

FSRA steps into global sandbox

Ontario's new financial services regulator will cooperate with its global counterparts

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OSC approves Bitcoin investment fund

3iQ Corp.'s Bitcoin Fund was originally rejected by the regulator's staff

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Trading ban breacher gets jail time

The recidivist was sentenced to 90 days in prison and two years probation

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Online security a top priority for regulators, investors, NASAA says

The association president warned of the reputational damage from cyber attacks

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MFDA bans former Edmonton mutual fund rep

Outside and private dealings lead to $150,000 fine

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B.C. shines a light on corporate secrecy

Private businesses will be required to maintain certain records on their beneficial owners

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CSA reveals name for revamped filing system

The system will be unveiled in four phases, beginning in 2021

  • By: IE Staff
  • October 25, 2019 November 13, 2019
  • 11:11
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CSA reviewing insider trading plans

Regulators will look at whether they should continue to exclude trades done under ASDPs from insider reporting requirements

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OSC issues findings in insider tipping and trading case

A future hearing will determine sanctions against Cornish; allegations against Caruso and Sidders were dismissed

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Banned pair face new charges from OSC

Regulator alleges duo promoted and sold investments to vulnerable investors through Wealth-e Group

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U.S. regulators join global sandbox

Global Financial Innovation Network grows to include 50 organizations

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B.C. court orders extradition for trader accused in U.S. penny stock scheme

Alleged market manipulation scheme involved 11 U.S. penny stocks

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Ex-SEC examiner faces obstruction charge

Other charges are unauthorized computer access and unauthorized disclosure of confidential information

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Time to revive SRO merger talks: C.D. Howe paper

A new paper argues that prospects for reform at the provincial level shouldn't prevent IIROC and MFDA from merging

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Spoof sites are all trick, no treat, SEC warns

Alert warns investors to be "extremely cautious"

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Global insider trading ring busted, U.S. authorities allege

Traders allegedly made tens of millions in illegal profits

Fintech research unit founded by AMF, Finance Montréal

UQAM professor Richard Guay will chair the scientific committee

BCSC gets beefed up enforcement powers in securities law overhaul

The reforms represent the most extensive amendments to the province's securities laws since the legislation was introduced in 1996