Latest news in From the Regulators

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SEC rewards more tipsters

Whistleblowers take home combined US$570,000 for enforcement tips

Stock market quotes

Updated: Capital markets deemed essential, open for business

Financial firms, regulators remain operational in Ontario shutdown

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OSC settles unregistered trading case

Mortgage firm sold $26 million in securities to investors in the exempt market

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FCA defends short-selling

Regulator says there's no evidence that shorts are driving markets down

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

CSA implements filing relief

Regulators are providing a 45-day extension

Whistleblower

Tipster gets US$1.6 million award from SEC

A whistleblower tipped off the SEC and assisted in an investigation

Gavel and legal books

TD Waterhouse fined $4 million for ignoring CRM2

An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements

rules and regulations

Aussie regulators drop almost everything to tackle Covid-19

Enforcement to protect markets and consumers will continue, but routine work has been shelved until Sept. 30

Court.

Court denies bid to re-examine client overcharging

The ruling said there are other ways to determine whether the regulatory settlement was adequate

IOSCO employee tests positive for Covid-19

No other staff have had recent contact with the employee

Young female hands tablet with red and blue charts analyze concept calculation

Banks, insurers plan virtual AGMs

CSA issues guidance for taking annual meetings online

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

Pandemic proves a paradise for cybercriminals

The MFDA warns that phishing and other cyberattacks are on the rise

skyline of downtown montreal

MX issues guidance for derivatives firms

The exchange will allow flexibility but no exemptions

Federal reserve building, Washington DC

Fed launches mutual fund backstop

Facility aims to ensure funds can meet increased redemption demands

rules and regulations written on folder

CSA extends filing, comment deadlines

Regulators provide 45-day extensions for filings, comment periods

rules and regulations

FINRA proposes trade reporting fee

The U.S. SRO will charge fees for reporting Treasuries trades

gavel

Conviction stands, but no jail for former rep

Appeal court upholds conviction, says jail time not warranted

CFTC expands Covid-19 relief

Provisions aim to enable remote working arrangements

Close-up Of Businesswoman Stopping The Effect Of Domino With Hand

European regulators expand short bans

Italy enacts a three-month ban, while Spain adopts a one-month prohibition

rules and regulations written on folder

NASAA slams SEC proposal to expand exempt markets

The group says investors need greater protections and oversight in private offerings

rules and regulations

CFTC provides relief to enable social distancing

Requirements have been relaxed to enable firms to operate remotely

Businessman check seriously analyzes a finance report investor colleagues discussing new plan financial graph data. bank managers task. Concept business and finance ,Account analyzes planing

Europe curbs short selling

France, Belgium and Italy impose temporary prohibitions

Close-up Of Businesswoman Stopping The Effect Of Domino With Hand

OSC takes action to address outbreak

In-person hearings and compliance reviews have been postponed

BIS staffer tests positive for Covid-19

Employees at the Bank for International Settlements are now working remotely

Block letters spelling fraud, with magnifying glass

Scammers still working amid market turmoil

The Nova Scotia Securities Commission warns investors about outbreak opportunists