Latest news in From the Regulators


AMF charges trio over PlexCoin virtual currency scheme

The defendants were previously ordered by a U.S. court to pay almost US$7M


Unsuitable leveraging results in fine, ban for ex-fund rep

SRO hearing panel ruled the former rep "completely untrustworthy"

Covid-19 schemes and scams snowballing

Regulators see an ever-growing array of pandemic-related frauds

Hi-tech technological background with numbers and calculations

FINRA invests in enforcement tech

Board approves new enforcement system, proposes rule changes

Judge gavel, scales of justice and law books in court

IIROC alleges misconduct at PACE Securities

SRO files disciplinary charges as liquidator seeks to transfer clients' accounts

Basel Committee urges banks to support growth

Global regulatory group says pandemic has entered a new phase

Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Doug Steiner joins OSC’s new innovation office

Steiner has been appointed to the newly formed Office of Economic Growth and Innovation

  • By: IE Staff
  • June 17, 2020 June 17, 2020
  • 14:53
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Instinet sanctioned for lax trade supervision

IIROC noted concerns about firm's oversight of a direct access client

Crypto firm exec pleads guilty to fraud

ICO raised more than US$25 million from investors based on false claims

Business economic graph and chart digital illustration

U.S. banks hold up in the face of Covid-19: FDIC

Earnings plunge, but bank fundamentals remain resilient

Market volatility, social isolation driving Covid-19 fraud: NASAA

U.S. state regulators seek Congressional support in fight against fraudsters

business people standing in line under a magnifying glass

Fed to resume compliance exams

Exam activity was suspended in March due to Covid-19

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Bank of Canada launches revamped overnight benchmark

Move to transaction-based benchmark follows LIBOR scandal

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Longtime advisor fined, banned

Rep admitted to unapproved outside dealings with clients


Toronto police file CERB fraud charges

Montreal woman accused of opening bank accounts to defraud Covid-19 relief program


Canadians charged in alleged Covid-19 pump-and-dump

U.S. authorities allege illegal stock sale campaigns sought to exploit pandemic

closeup old hand with crutch

AMF invites industry to combat elder abuse

Regulator issues guide on detecting harm to seniors

EU flags waving in front of European Parliament building. Brussels, Belgium

ESMA sustains short-selling vigilance

Stricter short-reporting requirements will extend through the summer

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

QuadrigaCX was a Ponzi scheme, OSC investigation finds

Firm's deceased founder lost $169 million of client assets to trading, misappropriation

Financial Technology concept illustration of Businessman pointing at abstract blue business charts and icons

CSA fintech sandbox expands to Taiwan

Regulatory co-operation agreement aims to facilitate international access for innovators

man being rescued by lifeboat

CFTC extends Covid-19 relief

Measures set to expire June 30 extended to Sept. 30

finding your niche

CSA relaxes approach to portfolio manager proficiency

Regulators draw line between client service, stock picking duties

Judge's gavel with magnifying glass on black.

OSC seeks receiver for asset manager

Grant Thornton appointed to oversee Stableview amid regulator's concerns

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

MFDA rejects IIROC merger overture

Fund industry SRO shoots down consolidation, reiterates call for overhaul

handshaking and exchanging contract documents

IIROC pitches merger with MFDA

New paper promises huge payoff from SRO consolidation