Regulators urged to address risk posed by cryptocurrencies
Extreme price volatility, high transaction costs and a lack of investor protection make cryptocurrencies unsafe
- By: James Langton
- February 6, 2018 November 5, 2019
- 12:30
Latest news in From the Regulators
BCSC panel fines, bans B.C. woman for fraud
Lynne Rae Nickford ordered to pay $300,000 administrative penalty and disgorgement
- By: James Langton
- February 5, 2018 November 5, 2019
- 15:30
New FINRA rules protect seniors and vulnerable adults from financial exploitation
Uniform standards to protect U.S. investors take effect
- By: James Langton
- February 5, 2018 November 5, 2019
- 14:00
IIROC seeks info on supervisors
The request follows recent changes to the self-regulatory organization’s continuing education rules
- February 5, 2018 November 5, 2019
- 12:10
SROs focus on key issues
Are firms shifting clients into lower-cost funds as appropriate?
- By: James Langton
- February 5, 2018 November 5, 2019
- 00:22
FSCO issues $1.1 million in fines over syndicated mortgages
Four firms fined, several individual mortgage brokers’ licenses revoked
- By: Megan Harman
- February 2, 2018 November 5, 2019
- 13:30
Ontario couple charged with securities offences
The allegations relate to the sale of over $800,000 worth of securities in MultiCast Networks
- By: Leah Golob
- February 2, 2018 November 5, 2019
- 11:20
IOSCO issues guidance for investment funds
Global regulators publish recommendations and best practices for improving liquidity risk management
- By: James Langton
- February 1, 2018 November 5, 2019
- 14:15
Regulatory uncertainty a challenge for Canada’s financial services industry
There will be new leadership at some of the world’s most important regulatory bodies by the end of 2018
- By: James Langton
- January 31, 2018 November 5, 2019
- 14:30
SEC halts initial coin offering
Court approves emergency asset freeze on Dallas-based AriseBank
- By: James Langton
- January 30, 2018 November 5, 2019
- 15:30
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
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