Regulators address extreme market volatility
Extreme volatility can “weaken market integrity and reduce investor confidence,” IOSCO says
- By: James Langton
- March 7, 2018 November 13, 2019
- 11:16
Latest news in From the Regulators
Three NYSE exchanges reach US$14-million settlement with the SEC
NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations
- By: James Langton
- March 6, 2018 November 13, 2019
- 15:50
B.C. court awards couple $1.7 million in damages against the CRA
The court ordered $750,000 in punitive damages against the tax agency, saying that the charges never should have been brought
- By: James Langton
- March 6, 2018 November 13, 2019
- 13:22
Global banks meeting revised Basel III requirements
New review from the Basel Committee on Banking Supervision finds that all banks meet their Tier 1 common equity requirement
- By: James Langton
- March 6, 2018 November 13, 2019
- 12:14
A quarter of British Columbians susceptible to investment fraud: BCSC
B.C. women between the ages of 18 and 34 were particularly interested in an investment offer despite it containing basic signs of fraud
- By: James Langton
- March 5, 2018 November 13, 2019
- 16:08
SEC announces charges in microcap manipulative trading scheme
Some of the manipulative trades were placed with Canadian brokers
- By: James Langton
- March 2, 2018 November 13, 2019
- 14:00
Mary Condon joins CMAIO
Later this month, the Supreme Court of Canada will hear a constitutional challenge to the proposed co-operative capital markets regulator
- By: James Langton
- March 1, 2018 November 13, 2019
- 10:23
IIROC takes aim at minor infractions
The SRO is looking to deal with certain cases more quickly
- By: James Langton
- March 1, 2018 November 13, 2019
- 00:23
BCSC seeks comments on gender diversity
With other jurisdictions pondering possible changes to disclosure requirements, is important that B.C. market participants have an opportunity to share their views
- By: James Langton
- February 26, 2018 November 13, 2019
- 14:00
IIROC proposes two new enforcement programs
The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases
- By: James Langton
- February 22, 2018 November 13, 2019
- 14:15
U.K. launches cryptocurrency and blockchain inquiry
Treasury Committee to examine risks and opportunities for financial institutions and consumers
- By: James Langton
- February 22, 2018 November 13, 2019
- 10:30
SEC adopts guidance on cybersecurity disclosure
The goal is to promote clearer and more robust disclosure by companies about cybersecurity risks and incidents
- By: James Langton
- February 21, 2018 November 13, 2019
- 14:07
FCA mulls using technology to achieve smarter regulatory reporting
Consultation paper seeks input on making reporting requirements machine-readable and executable
- By: James Langton
- February 20, 2018 November 13, 2019
- 16:00
Australian banks pay additional compensation to clients
More than 3,000 customers have received compensation for losses as a result of non-compliant conduct by advisors
- By: James Langton
- February 20, 2018 November 13, 2019
- 15:20
U.K., U.S. regulators sign collaboration agreement
The FCA and the CFTC commit to supporting innovative firms through each other’s fintech initiatives
- February 20, 2018 November 13, 2019
- 13:30
OSC invites Rezwealth fraud victims to apply for compensation
$70,000 has been seized in the case involving Rezwealth Financial Services Inc. and several other firms and individuals
- February 20, 2018 November 13, 2019
- 10:30
OSC cease trades USI-Tech
Alleged bitcoin multi-level marketing scheme targets investors
- By: James Langton
- February 16, 2018 November 13, 2019
- 10:45
Fintech raises concerns for regulators
Survey shows millennials at greatest risk for fintech fraud
- By: James Langton
- February 15, 2018 November 13, 2019
- 14:00
MFDA ramps up enforcement of sales rule
Violations of the rule involve certain incentives programs
- By: James Langton
- February 15, 2018 November 13, 2019
- 00:23
BCSC consults with fintech stakeholders
Regulator seeks input put on robo-advisors, cryptocurrencies and crowdfunding
- By: James Langton
- February 14, 2018 November 13, 2019
- 15:00
Australian Financial Complaints Authority aims to improve redress for consumers
The new service will feature higher monetary limits and compensation caps
- February 14, 2018 November 13, 2019
- 14:33
SEC initiative encourages self-reporting of mutual fund conflicts
To qualify, firms must promptly return money to harmed clients
- By: James Langton
- February 13, 2018 November 13, 2019
- 17:05
IOSCO’s fund guidance will benefit asset managers: Moody’s
Firms should benefit once the industry adopts liquidity risk recommendations
- By: James Langton
- February 13, 2018 November 13, 2019
- 15:45
IOSCO eyes risks of OTC leveraged products
Consultation paper identifies regulatory approaches aimed at enhancing investor protection
- By: James Langton
- February 13, 2018 November 13, 2019
- 13:30