Latest news in From the Regulators

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

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

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

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


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

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Citi slapped over compliance, control failings

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

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AMF strengthens compliance guidance

New guidance includes reforms adopted under Bill 141

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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

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Rep opposes shift to virtual enforcement

OSC to consider whether IIROC hearing can go electronic

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

FINRA, NASAA warn investors about pandemic-driven investment frauds


Record year for CFTC enforcement

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

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FCA bans crypto derivatives

Valuation, volatility, and violation concerns underpin retail ban


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

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FCA seeks sandbox solutions to Covid-19 threats

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

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CRA to withhold tax from new Covid-19 benefits

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

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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

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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


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

Financial rewards totalled US$175 million in fiscal 2020

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U.S. authorities charge crypto exchange with AML violations

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

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FSRA tribunal contemplates in-person hearings

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

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OSC, IIROC call for tips on abusive shorts

Regulators seek whistleblower tips on short selling ahead of new offerings

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JP Morgan settles massive market manipulation case

Deal with regulators involves $920 million in sanctions and disgorgement