Unilateral Ontario reforms could hurt harmonization, provincial regs warn
The CSA, excluding the OSC, also urges Ontario to join its passport system
- By: James Langton
- February 12, 2021 February 12, 2021
- 10:14
The CSA, excluding the OSC, also urges Ontario to join its passport system
Inactive company saw trading spike amid online chatter
More people in the U.K found themselves in precarious financial situations in 2020
The number of do-it-yourself accounts surged last year
A hearing panel ordered a penalty that was lower than what enforcement staff sought
Loneliness, cognitive decline and an increased reliance on the internet intensify investors' vulnerability
Halfway through an SRO ban, ex-rep agrees to new suspension
FAIR Canada supports tougher investor protection measures, but questions other proposals
The pandemic revealed money market funds are still susceptible to extreme market stress
An Australian man pleaded guilty after draining almost US$90 million from investors
Firms' tech update troubles can be a key source of operational failures, the FCA has found
The market battle that involved GameStop, AMC has sparked a review of trading practices
B.C. court certifies claim against RBC GAM alleging investors overpaid
Proposals would focus outside activity reporting, curb duplicate filings and enhance business title reporting
Regulator says firm used Ponzi tactics to fund distributions
Ontario's attorney general has recovered another $350K in a case where investors lost $1.7M
The SRO panel's ruling was reasonable, the regulator said
The MFDA is working on an "implementation roadmap" for its vision for the future of self-regulation
The DoJ and SEC allege a man duped investors and faked his own disappearance
Regulators pledge action against market manipulation
Short-selling and online trading platforms' business models are likely to receive scrutiny in Washington
Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda
Regulator names exec to oversee its approach to climate risk
Regulator says trader moved swap spreads to benefit bank at client's expense
Regulators to examine manufacturer, dealer compliance with new requirements