Latest news in From the Regulators

SEC charges day trader in brokerage account takeover scheme

NASAA spotlights warning signs of financial abuse by guardians

Canadian regulators sign fintech agreement with Abu Dhabi

Threat of cyberattack has BoC governor worried

BCSC bans pair for market manipulation

Measures aim to ease conflict with EU’s MiFID II research provisions

CSA opens discussion on director independence

Compliance failures at heart of Global RESP chairwoman’s rejected UDP application

U.K. investors urged to report fraud

Basel Committee guides banks on “step-in risk”

Panel urges OSC to compel companies to set targets for women on boards

OSC approves initial coin offering

FCA fines Merrill Lynch for failing to report derivatives transactions

U.K. “regulatory sandbox” meets goals: report

Execution Access settles with OSC

OSC LaunchPad gets commitment for the long term

Preparation key to mitigating cybersecurity threats: CSA article image New York boosts cybersecurity

Preparation key to mitigating cybersecurity threats: CSA

FINRA proposes reforms to arbitration program

Canadian banks compliant with Basel III liquidity rules

OSC seeks lawyers for securities advisory committee

N.B. to modernize credit union regulation

Investia fined for failing to supervise reps’ outside business activities

OSFI’s revised guidelines include financial stress test on buyers

CFTC fintech unit issues virtual currency primer

TMX Group cracks down on marijuana companies that violate U.S. federal laws