NBF fined $110,000 for supervision failure
Advisor did not comply with the dealer’s own guidelines for leveraged ETFs
- By: James Langton
- May 9, 2018 November 13, 2019
- 18:00
Latest news in From the Regulators
IIROC provided numerous exemptions from its own rules in 2017
Regulator reports that it received 324 proficiency exemption applications last year
- By: James Langton
- May 8, 2018 November 13, 2019
- 15:15
FCAA warns investors of “reload scheme”
Saskatchewan regulator issues cease-trade order
- By: James Langton
- May 7, 2018 November 13, 2019
- 15:40
Big Rock Labs founder fined $100,000 for manipulative trading
Trading in multiple accounts created a misleading appearance of market activity
- By: James Langton
- May 7, 2018 November 13, 2019
- 15:15
Michael Piwowar stepping down from SEC
Piwowar briefly served as acting SEC chairman
- By: James Langton
- May 7, 2018 November 13, 2019
- 14:30
OSC requests applications for continuous disclosure advisory committee
The deadline for applications is May 28
- By: James Langton
- May 7, 2018 November 13, 2019
- 11:51
FSB consults on using compensation data to prevent financial industry misconduct
The recommendations seek to assist regulators’ oversight of the effectiveness of compensation tools in addressing misconduct risk
- By: James Langton
- May 7, 2018 November 13, 2019
- 11:00
ASC gives green light to no-contest settlements
Enforcement tool enables regulators to resolve cases more quickly
- By: James Langton
- May 4, 2018 November 13, 2019
- 15:17
IIROC reports decline in enforcement activity for 2017
The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having…
- By: James Langton
- May 4, 2018 November 13, 2019
- 12:10
MFDA fines, bans former mutual fund rep
David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”
- By: James Langton
- May 4, 2018 November 13, 2019
- 10:04
Regulators issue proposed guidance for insurers, advisors
Proposal aims to “foster discussions between regulators, insurers and intermediaries on market conduct”
- By: Megan Harman
- May 3, 2018 November 13, 2019
- 17:06
Report highlights significant increase in MFDA enforcement activity
Monetary sanctions levied against both mutual fund dealers and mutual fund advisors totalled $8.5 million in 2017
- By: James Langton
- May 3, 2018 November 13, 2019
- 13:40
Some CCPs still lag on risk management and recovery planning
Regulators call on central counterparties to maintain sufficient liquidity
- By: James Langton
- May 3, 2018 November 13, 2019
- 11:00
SEC launches additional investor protection search tool
SALI aims to better equip investors to protect themselves against fraud
- By: James Langton
- May 2, 2018 November 13, 2019
- 16:00
ECB publishes framework for testing resilience to cyber attacks
TIBER-EU aims to mimic the tactics, techniques and procedures of real hackers
- May 2, 2018 November 13, 2019
- 11:50
BCSC seeks feedback on proposed fee changes
The proposed fee changes will be used to fund increased enforcement and meet growing regulatory obligations
- By: James Langton
- May 1, 2018 November 13, 2019
- 16:15
Fund manager loses bid to exclude evidence from OSC hearing
Hearing into allegations of illegal insider tipping postponed until September
- By: James Langton
- May 1, 2018 November 13, 2019
- 16:00
Australian regulator reviewing ICOs
Some issuers have halted their ICOs to address the ASIC’s concerns
- By: James Langton
- May 1, 2018 November 13, 2019
- 14:10
Former mutual fund advisor banned
MFDA hearing panel finds Thunder Bay man misappropriated money for spouse’s TFSA
- By: James Langton
- April 30, 2018 November 13, 2019
- 10:30
Two Ontario men charged with fraud: OSC
The charges relate to the sale of securities in Hockley Energy and Rocky Point Energy
- By: James Langton
- April 27, 2018 December 15, 2021
- 15:25
State AGs fight for DOL fiduciary rule
Three states rush to defend regulations that require retirement investment advisors to put the interests of their clients above their own financial gain
- By: James Langton
- April 27, 2018 November 13, 2019
- 13:45
Compensation funds available for Phoenix group victims
Almost $3 million has been forfeited to Ontario’s Civil Remedies for Illicit Activities Office
- By: James Langton
- April 26, 2018 November 13, 2019
- 14:45
IIROC receives passing grade from regulators
An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed
- By: James Langton
- April 26, 2018 November 13, 2019
- 12:07
Offering ETFs will mean new requirements for mutual fund dealers
Training, due diligence, trading instructions among issues MFDA firms will have to consider
- By: Leah Golob
- April 25, 2018 November 13, 2019
- 14:17