Latest news in From the Regulators

rules and regulations

Unilateral Ontario reforms could hurt harmonization, provincial regs warn

The CSA, excluding the OSC, also urges Ontario to join its passport system

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SEC halts stock due to social media hype

Inactive company saw trading spike amid online chatter

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Pandemic leaves millions financially vulnerable: FCA

More people in the U.K found themselves in precarious financial situations in 2020

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IIROC re-issues investor bulletin amid increase in DIY investor complaints

The number of do-it-yourself accounts surged last year

  • By: IE Staff
  • February 10, 2021 February 10, 2021
  • 15:59
gavel

ASC sanctions exempt market rep for suitability, KYC failures

A hearing panel ordered a penalty that was lower than what enforcement staff sought

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Social isolation adds to seniors’ fraud risk: NASAA

Loneliness, cognitive decline and an increased reliance on the internet intensify investors' vulnerability

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MFDA suspension extended by OSC enforcement action

Halfway through an SRO ban, ex-rep agrees to new suspension

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Investor advocates give Ontario task force report mixed reviews

FAIR Canada supports tougher investor protection measures, but questions other proposals

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SEC considers money market reforms

The pandemic revealed money market funds are still susceptible to extreme market stress

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Crypto hedge fund founder admits fraud

An Australian man pleaded guilty after draining almost US$90 million from investors

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Digital glitches get stitches

Firms' tech update troubles can be a key source of operational failures, the FCA has found

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U.S. securities watchdogs reviewing recent stock market turbulence

The market battle that involved GameStop, AMC has sparked a review of trading practices

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Closet indexing class action gets the go-ahead

B.C. court certifies claim against RBC GAM alleging investors overpaid

rules and regulations

CSA seeks to streamline registration reporting

Proposals would focus outside activity reporting, curb duplicate filings and enhance business title reporting

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SEC alleges asset manager duped investors

Regulator says firm used Ponzi tactics to fund distributions

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More funds available for victims in Goldpoint case

Ontario's attorney general has recovered another $350K in a case where investors lost $1.7M

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ASC rejects rep’s appeal of MFDA discipline

The SRO panel's ruling was reasonable, the regulator said

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MFDA begins sketching map to new SRO

The MFDA is working on an "implementation roadmap" for its vision for the future of self-regulation

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Out for justice: Alleged crypto fraudster charged

The DoJ and SEC allege a man duped investors and faked his own disappearance

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CSA, IIROC warn investors about relying on Reddit

Regulators pledge action against market manipulation

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GameStop saga makes Wall Street an issue for Biden team

Short-selling and online trading platforms' business models are likely to receive scrutiny in Washington

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FINRA to focus on retail investors in its reviews this year

Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda

announcement

SEC elevates ESG issues with new policy role

Regulator names exec to oversee its approach to climate risk

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CFTC charges trader with swap manipulation

Regulator says trader moved swap spreads to benefit bank at client's expense

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Investment firms, dealers face MiFID II review

Regulators to examine manufacturer, dealer compliance with new requirements