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SEC settles with scores of firms that admitted trailer fee disclosure failures

The firms admitted to failing to properly disclose ongoing mutual fund fees to clients

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ASC settles with lawyer over alleged market manipulation scheme

The lawyer failed to identify that a former client was allegedly engaging in a market manipulation

Gavel and legal books

BCSC panel orders “pump-and-dump” backers banned, fined

Sanctions ordered against three people and a firm

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U.S. court sanctions offshore Bitcoin-based CFD firm

Regulator orders almost US$1 million in sanctions, disgorgement and restitution

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CSA eyes trading fees

Regulator plans to study the effects of curbing trading venues’ fee/rebate structures

Businessman analysis the stockmarket on labtop Stock Market Investment Online

Urging consistency nationally

IAP wants regulatory sanctions against individuals to apply across regional and industry jurisdictions

Block letters spelling fraud, with magnifying glass

DoJ touts record effort at combatting elder fraud

Cases include tech-support fraud schemes

Finger on analysis button risk management or assessment concept

ESMA finds leverage, liquidity risks in the alt funds sector

The risks are identified in hedge and real estate funds

bitcoin ethereum litecoin concept coins on black

FCA finds crypto buyers are clueless but largely harmless

The U.K. regulator publishes its first-ever research on consumer attitudes to cryptoassets

Global banking regulators name a new boss

The new chairman starts a three-year term

U.S. DoJ settles accounting, securities fraud charges with firm

The company will pay US$28 million as part of a non-prosecution agreement

United States Capitol, Washington DC

NASAA calls on Congress to put retail investors first

The group also called for fintech regulation

Block letters spelling fraud, with magnifying glass

BCSC warns of investment fraud blind spots

Fewer than half of Canadians recognize all the warning signs, a survey says

  • By: IE Staff
  • March 5, 2019 March 5, 2019
  • 15:43
Downtown Vancouver, BC with bridge over harbour

B.C. boosting ability to seize proceeds of crime

Proposals would make it easier to track funds before they're sent offshore

MFDA warns dealers about conflicts created by fundco promos

A review of dealers' policies on promotional incentives reveals gaps and shortcomings

High angle view of mallet eyeglasses legal book in courtroom

FINRA sanctions firm for failing to supervise short selling

Firm fined US$2 million

Regulators issue guidance on final adoption of margin rules for derivatives markets

Implementation to take place through to 2020

CFTC pays millions to tipster for number crunching that led to enforcement action

Reward is more than US$2 million

xhausted businessman dragging heavy chains

OSC announces hearings, internal work at cutting red tape

Major industry groups, SROs and investor advocates are expected to participate in the roundtable

Judge gavel, scales of justice and law books in court

B.C. man gets three months in jail for violating securities ban

He'll serve the sentence consecutively with a three-and-a-half-year sentence for fraud charges

  • By: IE Staff
  • March 4, 2019 March 4, 2019
  • 15:02
Stacked white books on rules and regulations

OSC urged to cut regulatory burdens, not investor protections

Initial feedback to proposals generally positive

Block letters spelling fraud, with magnifying glass

Toronto police charge alleged foreign exchange fraudster

Court appearance is April 11

United States Capitol, Washington DC

SIFMA opposes state fiduciary standards

U.S. securities industry lobbyists say developing standards at the state level will result in conflicting requirements

MSC warns investors about sketchy trading platform

The Manitoba regulator says a Bulgaria-based company is promising guaranteed returns

Two new members for ASC

Each will serve three-year terms

  • By: IE Staff
  • March 1, 2019 March 1, 2019
  • 13:04