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ESMA tackles CCP conflicts of interest

Central counterparties should consider potential conflicts in various relationships

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SEC announces 2018 compliance exam priorities

The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution

No action needed on Alpha speed bumps: OSC

A report from the regulator echoes the conclusion of a earlier report from IIROC

OSFI extends NSFR implementation timeline

Net Stable Funding Ratio rule pushed to 2020

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Regulators urged to address risk posed by cryptocurrencies

Extreme price volatility, high transaction costs and a lack of investor protection make cryptocurrencies unsafe

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BCSC panel fines, bans B.C. woman for fraud

Lynne Rae Nickford ordered to pay $300,000 administrative penalty and disgorgement

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New FINRA rules protect seniors and vulnerable adults from financial exploitation

Uniform standards to protect U.S. investors take effect

IIROC seeks info on supervisors

The request follows recent changes to the self-regulatory organization’s continuing education rules

  • February 5, 2018 February 5, 2018
  • 12:10

SROs focus on key issues

Are firms shifting clients into lower-cost funds as appropriate?

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FSCO issues $1.1 million in fines over syndicated mortgages

Four firms fined, several individual mortgage brokers’ licenses revoked

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Ontario couple charged with securities offences

The allegations relate to the sale of over $800,000 worth of securities in MultiCast Networks

  • By: Leah Golob
  • February 2, 2018 February 2, 2018
  • 11:20
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IOSCO issues guidance for investment funds

Global regulators publish recommendations and best practices for improving liquidity risk management

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Regulatory uncertainty a challenge for Canada’s financial services industry

There will be new leadership at some of the world’s most important regulatory bodies by the end of 2018

SEC halts initial coin offering

Court approves emergency asset freeze on Dallas-based AriseBank

IIROC calls for nominations to fixed income advisory committee

The FIAC makes recommendations to IIROC staff about proposed initiatives relating to fixed income trading

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Improvements to CRM2 compliance needed: MFDA

The “majority” of dealers are disclosing DSCs adequately, but some reported DSCs and trailer fees bundled together, new MFDA report finds

Saskatchewan investors warned not to invest with USI-Tech

The Dubai-based firm trading plaform is not registered to trade securities in the province

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U.K. regulator warns of increased risk of online fraud

Scams may involve binary options, cryptocurrencies and contracts for difference

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NBF fined $700,000 for ETF disclosure failings

The dealer has implemented controls to prevent a similar issue from occurring in the future

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IIROC issues guidance on CE program

The goal is to create, maintain and promote high proficiency standards

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OSC names three new commissioners

Two financial industry veterans and one academic bring longstanding expertise in securities law

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Appeal court upholds OSC decisions in insider tipping and trading case

An OSC panel was reasonable in concluding that advisors should have known they were acting on inside information

FINRA sanctions rep for posting fake sex ad

Harassing and abusive conduct violates ethical principles

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IIROC proposes tighter CE rules

Former reps that return to the industry would no longer be able to use the CSC and CPH to satisfy their CE requirements

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OSC orders sanctions in Quadrexx fraud

Permanent trading and registration bans ordered against executives Miklos Nagy and Tony Sanfelice