Latest news in From the Regulators

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Rep fined after OSC rules that regulatory panel erred

The commission ordered sanctions against a former MFDA representative who misappropriated client money

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Regulators prepare to supervise stablecoins

IOSCO, CPMI propose guidance for overseeing systemic stablecoin arrangements

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MFDA sanctions rep for moonlighting in real estate

Compliance review uncovered rep's secret sideline


Canadian shell used to dupe investors, U.S. authorities allege

SEC, DoJ allege investor misrepresentation, misappropriation

Target hit in the center by arrow

NASAA targets brokers that shirk arbitration awards, fines

Proposed rules aim to address unpaid compensation to harmed investors

Stock buybacks benefit retail investors, research suggests

A paper argues that buybacks add liquidity, curb volatility and reduce trading costs

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A national regulator? Sure, but it will take a miracle

Ontario taskforce chair sees stalemate on national regulator and passport

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Cary List, Jim Sinclair join OSC’s independent Investor Advisory Panel

The pair will replace Patti Best and Harvey Naglie on Nov. 1

  • By: IE Staff
  • October 5, 2021 October 5, 2021
  • 14:33
Federal reserve building, Washington DC

Fed watchdog to investigate officials’ financial trades

Democratic Sen. Elizabeth Warren also urged the Securities and Exchange Commission to investigate the investments by three Fed officials

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Complex ETFs to face SEC scrutiny

Leveraged and inverse ETFs may present risks that go beyond retail investors, Gary Gensler said


Court overturns BCSC asset freeze rulings

Appeal court found that regulator erred in two cases, but not in a third

Retail investor protection under review in EU

ESMA reviews rules amid rise of meme stocks, robos and digital disclosure


Ex-rep fined, suspended for churning vulnerable client

The client lost $1.3 million to risky trading that generated $232,000 in commissions


New crypto kid in CSA sandbox is publicly traded

The BCSC grants time-limited regulatory relief to Netcoins

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TD fined over account fee disclosure failure

The bank was fined $400,000 after it overcharged seniors $31 million

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New SRO, total cost reporting on tap for 2022, Morisset says

The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3

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Bennett Jones to represent Bridging Finance investors

The court appointed the firm based on an independent recommendation

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CFTC settles with firm over losses caused by negative oil prices

The firm's systems weren't ready when oil went negative, leaving clients unable to trade

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Wells Fargo settles allegations of overcharging FX clients

The bank paid US$72.6 million in a settlement with U.S. authorities

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U.S. regulators campaign for trusted contacts

SEC, FINRA, NASAA join forces in investor protection push

rules and regulations

SEC bans pair for pointless whistleblower filings

Rule changes from 2020 enable SEC to ban frivolous filers from its tip award program

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MFDA bans rep for dealings with elderly mother

In decision, MFDA panel stresses need for sanctions that deter exploitation of vulnerable investors

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2nd top Fed official to retire in wake of trading activity

Robert Kaplan's resignation follows a similar announcement earlier Monday by Eric Rosengren

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Meme stock options fuelled trading scheme, SEC alleges

The regulator charged a trader for exploiting high volume to carry out a liquidity rebate scheme

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Unregulated financial sector AI poses risks: OECD

A report from the group calls for enhanced oversight of industry algorithms and technology