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
Latest news in From the Regulators
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
OSC proposes change to whistleblower program
Commission aims to clarify that in-house counsel can't collect a reward for reporting enforcement information in violation of law society rules
- By: James Langton
- January 18, 2018 November 5, 2019
- 11:00
NSSC introduces investor alert database
The database is another tool for investors to use when making informed investment decisions
- January 17, 2018 November 5, 2019
- 16:15
MFDA sets compliance priorities for 2018
The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors
- By: James Langton
- January 16, 2018 November 5, 2019
- 15:30
AMF issues warning on cryptocurrencies, ICOs
Quebec regulator cautions investors, issuers
- By: James Langton
- January 15, 2018 November 5, 2019
- 11:00
Jury’s out on bitcoin
Investors and advisors should go “beyond the headlines and the hype”
- By: Fiona Collie
- January 15, 2018 November 5, 2019
- 00:23
CSA reconsiders disclosure policy for cannabis companies with U.S. operations
The umbrella organization for Canada’s provincial and territorial securities regulators. says it will communicate more details about its position shortly
- By: The Canadian Press
- January 12, 2018 November 5, 2019
- 18:30
OSFI announces revisions to capital floor
The revised requirements for banks will begin to be phased in during the second quarter
- By: James Langton
- January 12, 2018 November 5, 2019
- 17:20
Two commissioners join SEC
Robert Jackson Jr. and Hester Peirce participated in the inaugural meeting of the SEC’s new fixed income market structure advisory committee
- By: James Langton
- January 12, 2018 October 7, 2019
- 14:50
IIROC fines advisor $90,000 for conflict of interest
The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm
- By: James Langton
- January 11, 2018 October 7, 2019
- 12:40
FCA sounds warning following CFD review
Retail investors may be at serious risk of harm from poor practices in from distributors
- By: James Langton
- January 10, 2018 October 7, 2019
- 15:00
Concerns about Alpha speed bump unfounded: report
The report examines segmentation, market quality measures, and differences in routing behaviour around the TSX Alpha Exchange redesign
- By: James Langton
- January 9, 2018 October 7, 2019
- 15:20
FINRA releases 2018 regulatory and exam priorities
Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation
- January 8, 2018 October 7, 2019
- 15:30
Court dismisses appeal of OSC securities fraud decision
The founders of North American Financial Group and North American Capital argued that a hearing panel’s and findings and penalty decision were unreasonable
- By: James Langton
- January 8, 2018 October 7, 2019
- 14:30
U.S. regulators propose new risk management guidance for banks
U.S. regulators propose new risk management guidance for banks
- By: James Langton
- January 5, 2018 October 7, 2019
- 11:30