IIROC calls for nominations to fixed income advisory committee
The FIAC makes recommendations to IIROC staff about proposed initiatives relating to fixed income trading
- By: James Langton
- January 30, 2018 November 5, 2019
- 15:15
Latest news in From the Regulators
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
- By: James Langton
- January 30, 2018 November 5, 2019
- 14:19
Saskatchewan investors warned not to invest with USI-Tech
The Dubai-based firm trading plaform is not registered to trade securities in the province
- By: James Langton
- January 29, 2018 November 5, 2019
- 14:20
NBF fined $700,000 for ETF disclosure failings
The dealer has implemented controls to prevent a similar issue from occurring in the future
- By: James Langton
- January 26, 2018 November 5, 2019
- 16:55
IIROC issues guidance on CE program
The goal is to create, maintain and promote high proficiency standards
- By: James Langton
- January 26, 2018 November 5, 2019
- 15:50
OSC names three new commissioners
Two financial industry veterans and one academic bring longstanding expertise in securities law
- By: James Langton
- January 26, 2018 November 5, 2019
- 12:07
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
- By: James Langton
- January 26, 2018 November 5, 2019
- 10:21
FINRA sanctions rep for posting fake sex ad
Harassing and abusive conduct violates ethical principles
- By: James Langton
- January 25, 2018 November 5, 2019
- 16:00
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
- By: James Langton
- January 25, 2018 November 5, 2019
- 14:45
OSC orders sanctions in Quadrexx fraud
Permanent trading and registration bans ordered against executives Miklos Nagy and Tony Sanfelice
- By: James Langton
- January 24, 2018 November 5, 2019
- 17:30
CFTC charges My Big Coin with fraud
Las Vegas-based virtual currency firm allegedly solicited more than US$6 million for investments
- By: James Langton
- January 24, 2018 November 5, 2019
- 15:16
Banks’ resilience and strength have increased
Global banks have shifted their business mix away from complex and risky trading activities, report finds
- By: James Langton
- January 24, 2018 November 5, 2019
- 14:40
U.K. tightens defences against money laundering
European regulators provide guidance to firms on AML compliance
- By: James Langton
- January 23, 2018 November 5, 2019
- 15:15
Anxiety a major barrier to engaging on investment fees: survey
The BCSC is boosting its efforts to educate investors about the importance of understanding their investment fees
- By: James Langton
- January 23, 2018 November 5, 2019
- 14:30
FINRA launches small firm helpline
The helpline aims to provide immediate answers on basic compliance questions
- By: James Langton
- January 22, 2018 November 5, 2019
- 15:25
SEC lays charges on six accountants
The respondents were allegedly “engaged in shocking misconduct” and were subsequently terminated, resigned or placed on leave
- By: James Langton
- January 22, 2018 November 5, 2019
- 13:14
OSC names fives new members to its SPAC
The lawyers will join the OSC’s advisory committee on the operation of its in-house tribunal
- By: James Langton
- January 22, 2018 November 5, 2019
- 10:42
U.S. regulators combat cryptocurrency fraud
The SEC and CFTC pledge to stop and prevent fraud
- By: James Langton
- January 19, 2018 November 5, 2019
- 11:20
AMF finds deficiencies in “Fund Facts” review
The AMF will follow up on the results of the review and may require firms to make changes to their “Fund Facts” documents
- By: James Langton
- January 19, 2018 November 5, 2019
- 10:40
IIROC seeks input on changes to plain language rulebook
IIROC seeks input on changes to plain language rulebook
- By: James Langton
- January 19, 2018 November 5, 2019
- 09:30
IIROC bans former Calgary broker
Unauthorized discretionary by Adam Woodward caused significant client losses, regulator says
- By: James Langton
- January 18, 2018 November 5, 2019
- 16:10
IOSCO highlights risks with initial coin offerings
Investors urged to be very careful in considering these highly speculative investments
- By: James Langton
- January 18, 2018 November 5, 2019
- 15:10
IIROC releases 2018 compliance priorities report
Emphasis is on CRM2, cybersecurity and conflicts of interest
- By: James Langton
- January 18, 2018 November 5, 2019
- 14:45