Home News From the Regulators Page 2

Latest news in From the Regulators

Hi-tech technological background with numbers and calculations

As tech’s role in compliance grows, so do concerns: FSB

Resourcing, cyber risk and data-quality issues accompany tech adoption, a report finds

businessman showing where to sign agreement law contract pen

OSC to syndicated mortgage firms: don’t dilly-dally

Ontario's securities regulator warns firms to seek registration ahead of the upcoming regulatory transition

announcement

IIROC seeks to speed bulk transfers

Proposed rule changes would give SRO staff authority to issue exemptions from certain re-papering requirements

stock exchange

Dealers say no to pulling all-nighters

IIAC voices firms' concerns with overnight derivatives trading

Judge gavel, scales of justice and law books in court

Citi slapped over compliance, control failings

Bank hit with $400-million penalty from the U.S. federal banking regulator

guidelines and regulations binders

AMF strengthens compliance guidance

New guidance includes reforms adopted under Bill 141

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Fund managers invited into BoC backstop

Corporate bond market support being expanded to enhance efficacy

Pandemic intensifies policymakers’ data needs

Covid-19 has disrupted global data efforts that began following the 2008 crisis

gavel on a laptop

Rep opposes shift to virtual enforcement

OSC to consider whether IIROC hearing can go electronic

red warning flag on a stormy beach

Covid-19 is new, but crisis-based scams are not

FINRA, NASAA warn investors about pandemic-driven investment frauds

gavel

Record year for CFTC enforcement

The CFTC's enforcement chief is leaving the agency on Oct. 8 following a "historic" year

Bitcoin in the hands of a child. The boy holds a metal coin of crypto currency in his hands.

FCA bans crypto derivatives

Valuation, volatility, and violation concerns underpin retail ban

gavel

Former U.S. advisor gets 17 years in sin bin

Ex-NHL players among victims of numerous investment schemes

rules and regulations

FSRA demands disclosure for risky co-op offerings

The regulator wants enhanced disclosure from co-ops raising capital

fintech and blockchain icons on financial technology background

FCA seeks sandbox solutions to Covid-19 threats

The regulator has opened two efforts to support post-pandemic innovation

close up of woman counting money with calculator calculations

CRA to withhold tax from new Covid-19 benefits

Unlike the CERB, new benefits will be subject to 10% tax at source

Horizontal Seamless Pattern of the symbols of dollar currency on transparent. Vector background with green signs of dollars. The pattern can be used for your ad, poster, banner of USD money. Vector

FINRA seeks fee hike

SRO aims to boost annual revenues by US$225 million by 2024

New charges in Ponzi scheme case

Third man charged by Toronto police in purported scam

Young business people in board room meeting at the office

OSC seeking new members for registrant committee

The Registrant Advisory Committee provides industry input on the OSC's policy work

rules and regulations

Feds, provinces must coordinate on privacy: CLHIA

Industry group says added provincial rules not needed

Whistleblower

A record-breaking year for the SEC’s whistleblower program

Financial rewards totalled US$175 million in fiscal 2020

Abstract bitcoin crypto currency blockchain technology on global world map illustration

U.S. authorities charge crypto exchange with AML violations

Firm allegedly made US$1 billion in fees while flouting U.S. laws

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

FSRA tribunal contemplates in-person hearings

Ontario's Financial Services Tribunal launches a consultation on rules for proceedings

Businessman Blowing Whistle Isolated on White Background

OSC, IIROC call for tips on abusive shorts

Regulators seek whistleblower tips on short selling ahead of new offerings

Closeup of mallet being hit on stacked coins at table in courtroom

JP Morgan settles massive market manipulation case

Deal with regulators involves $920 million in sanctions and disgorgement