Home News From the Regulators

Latest news in From the Regulators


CFTC pays whistleblower who tried to warn internally first

The agency has now awarded more than US$85 million to whistleblowers

Stacked white books on rules and regulations

Basel III reform implementation remains a work in progress

The Basel Committee has released its latest status report

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

OSC upholds firm’s ASC suspension

The firm was also suspended in Alberta, B.C., Manitoba and Saskatchewan

Block letters spelling fraud, with magnifying glass

U.S. insurers purportedly lost hundreds of millions to investment scheme

Two former execs at a private equity firm have been charged

Judge gavel, scales of justice and law books in court

Binary options firm accused of defrauding investors

U.S. regulator alleges Berkley Capital Management defrauded clients of US$2.5 million

two couples having a picnic on the beach

FCA tackles demographic divide

Regulator to look at consumers' shifting financial needs in the years ahead

Stacked white books on rules and regulations

CSA proposes systems reboot, cost cut

The regulator estimated that total system fees would decline by about 7% under the new model

BCSC names new commissioners

Four appointees were announced on Wednesday

Businessman in spotlight Human resource recruitment success employee illustration appointment notice new job

OSC names new commissioner

Ray Kindiak has been appointed to a two-year term

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

MFDA boosts enforcement in 2018

The SRO commenced a record 136 disciplinary proceedings last year

High angle view of mallet eyeglasses legal book in courtroom

U.S. court orders banks to provide information on Finns with offshore accounts

The request comes from Finnish tax authorities

guidelines and regulations binders

FCA reviewing market for financial advice

The deadline for initial feedback is June 3

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

‘Shadow bank’ illegally served crypto exchanges, U.S. authorities allege

One accused has been arrested, while another remains at large

Block letters spelling fraud, with magnifying glass

Former fund rep and two others duped investors

BCSC hearing panel finds investors were defrauded of more than $1.1 million

Business People Meeting Discussion in a boardroom concept

NASAA conference to examine new NAFTA’s impact on the financial sector

The new U.S.-Mexico-Canada (USMCA) trade deal has yet to be ratified

fintech and blockchain icons on financial technology background

Canadian regulators are players in GFIN sandbox

Firms selected for cross-border innovation pilot will be announced late in the second quarter

Block letters spelling fraud, with magnifying glass

Pitchmen for binary options schemes sanctioned by U.S. court

The CFTC alleges the internet fraud generated more than US$17.8 million

Former S&P analyst convicted in insider trading case

The analyst received inside information about Sherwin-Williams Co.’s planned acquisition of Valspar Corp. in 2016

Stock market background design

BCSC joins OSC on oversight of Canadian Securities Exchange

The CSE is home to a large number of B.C.-based, early-stage companies

  • By: IE Staff
  • April 26, 2019 May 20, 2019
  • 13:30

AMF says Bombardier exec compensation plan falls within the law

Quebec regulator urges company to reconsider maintaining its automatic stock disposition plan

Bank skyscrapers in downtown Toronto

OSFI focuses on industry risks in new strategic plan

The federal regulator's plan identifies a variety of financial and non-financial risks

business angel against the sky

OSC updating oversight of investor protection funds

Proposed changes include a requirement to report information security breaches

Tools - Businessman with touchscreen

IIROC to adopt new disciplinary tools

SRO seeks comment on minor contravention program and early resolution offers. The programs would contribute to enhanced efficiencies and faster resolutions

fintech and blockchain icons on financial technology background

FINRA launches unit to focus on industry innovation

The Office of Financial Innovation will lead the SRO's handling of fintech-related issues

loseup portrait senior man protecting a piggy bank

NASAA warns investors about cross-selling risks

An alert says the sales tactic can take advantage of clients