Latest news in From the Regulators

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New SEC enforcement chief steps down

Alex Oh was named director of enforcement last week

Federal reserve building, Washington DC

Fed keeps key rate near zero, sees inflation as ‘transitory’

The quickening pace of growth has raised fears among some analysts that inflation could rise uncomfortably quickly

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CRA has processed 18.6 million returns so far in 2021

The tax agency has not provided an extension to the April 30 deadline for 2020 returns

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IIROC proficiency committee seeks members

The group will provide industry input on advisor education

How dealers can protect vulnerable clients

A new MFDA paper aims to take the mystery out of client vulnerability

virtual regulation

Zoom seminar debacle attracts OSC warning

The regulator issued an alert about a banned man hosting online investment conferences

Businessman Blowing Whistle Isolated on White Background

Tip was slow to come but still worth millions

The SEC paid US$3.2 million for tip and ongoing assistance, in spite of delay in coming forward

Hedge fund founder duped investors, allege U.S. authorities

Criminal and civil charges are based on allegations that a fund manager deceived investors, misappropriated assets


CFTC has collected more than US$1 billion in sanctions via tipsters

The agency has awarded whistleblowers US$123 million since 2014


Investor sues advisor for not taking enough risk

Court finds an investor's portfolio was too heavily concentrated in preferred shares, but that its low-risk strategy was appropriate


Change to global compliance standards bites investors

HSBC agreed to pay more than $1 million to settle concerns that investors were harmed when the firm cut ties with 51 dealers

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SEC names new top cop

Former prosecutor Alex Oh will lead the U.S. regulator's enforcement division

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FedsĀ propose allowing e-signatures for key tax formsĀ 

The CRA would issue electronic notices of assessment as the default when returns are filed electronically

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MFDA seeks additional sanctions in OSC review

The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

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BCSC settles with pair in Ponzi scheme case

B.C. residents allegedly accounted for raising US$1.15 million of a US$15-million scam

businessman race hurdle competition

CSA’s SRO consultation in the final stretch

Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks


FINRA bans analyst for insider trading

Goldman analyst bought stocks knowing they were about to get a "buy" recommendation from a colleague

Piggy bank with national flag of Canada

Budget promises funding for national regulator effort

Feds pledge funding for CSTO, despite recent demise of CMAIO

Tower of Victory and Peace in Ottawa, Canada. Bell and Clock Tower of Canadian Parliament.

Feds propose expanding eligibility for disability tax credit

The DTC is key to programs such as the RDSP and Child Disability Benefit

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U.K. to examine digital currency

The Bank of England and HM Treasury have formed a task force to study official cryptocurrency

Quebec flag billowing in the breeze

Quebec gives taxpayers an extra month to file return

The move is putting pressure on Ottawa to do likewise


Tipsters share US$50-million payout

The SEC has rewarded tips that uncovered misconduct and saved investors millions

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New protections for senior investors on the horizon

The CSA will finalize rules designed to protect vulnerable clients by early summer

Translating climate risks into financial risks takes work

Improving data will enable banks and regulators to better capture climate risks in financial terms

stock market down

MX delays extended hours launch

The move to open for trading alongside Asian markets was pushed to Sept. 19