SEC charges day trader in brokerage account takeover scheme
Account takeovers are a growing threat to retail investors, U.S. regulator says
- By: James Langton
- October 30, 2017 September 19, 2019
- 15:30
Latest news in From the Regulators
NASAA spotlights warning signs of financial abuse by guardians
Incidents of suspected abuse should be reported to authorities, regulators say
- By: James Langton
- October 30, 2017 September 19, 2019
- 11:45
Canadian regulators sign fintech agreement with Abu Dhabi
Agreement aims to foster co-operation and information sharing on licensing innovative fintech businesses
- By: James Langton
- October 26, 2017 September 19, 2019
- 16:30
Threat of cyberattack has BoC governor worried
Government has a critical, co-ordinating role to play in defending the financial system from hackers, Poloz says
- By: The Canadian Press
- October 26, 2017 September 19, 2019
- 16:00
BCSC bans pair for market manipulation
Former advisor ordered to pay $800,000 penalty
- By: James Langton
- October 26, 2017 September 19, 2019
- 15:30
Measures aim to ease conflict with EU’s MiFID II research provisions
SEC, European Commission take co-ordinated action
- By: James Langton
- October 26, 2017 September 19, 2019
- 14:00
CSA opens discussion on director independence
A new consultation paper aims to weigh the costs and benefits of different approaches to determining director and audit committee member independence
- By: James Langton
- October 26, 2017 September 19, 2019
- 11:50
Compliance failures at heart of Global RESP chairwoman’s rejected UDP application
Hanane Bouji’s conduct “is inconsistent with what is expected from an individual seeking to become a UDP,” according to an OSC hearing panel’s decision
- By: James Langton
- October 25, 2017 September 19, 2019
- 19:50
U.K. investors urged to report fraud
Less than two-thirds of investors surveyed are likely to report suspected investment fraud.
- By: James Langton
- October 25, 2017 September 19, 2019
- 12:30
Basel Committee guides banks on “step-in risk”
New guidelines aim to address the risk that distress faced by shadow banks could spill over to traditional banks
- By: James Langton
- October 25, 2017 September 19, 2019
- 10:45
Panel urges OSC to compel companies to set targets for women on boards
Pushing companies to set an actual gender diversity goal, and to explain if they fall short, is the next logical step
- By: Armina Ligaya
- October 24, 2017 September 19, 2019
- 15:50
OSC approves initial coin offering
Toronto-based Token Founder Inc. will carry out the ICO under existing prospectus exemptions
- By: James Langton
- October 23, 2017 September 19, 2019
- 14:30
FCA fines Merrill Lynch for failing to report derivatives transactions
This is the first enforcement action against a firm for failing to report details of trading in exchange-traded derivatives under the European Markets Infrastructure Regulation
- By: James Langton
- October 23, 2017 September 19, 2019
- 12:15
U.K. “regulatory sandbox” meets goals: report
The benefits include reducing the time and cost for firms of getting innovative ideas to market
- By: James Langton
- October 23, 2017 September 19, 2019
- 10:25
Execution Access settles with OSC
The U.S. fixed-income trading firm has agreed to pay almost $1 million for failing to register as an exchange or investment dealer
- By: James Langton
- October 20, 2017 September 19, 2019
- 16:40
OSC LaunchPad gets commitment for the long term
Pat Chaukos announces permanent status
- By: James Langton
- October 19, 2017 September 19, 2019
- 16:10
Preparation key to mitigating cybersecurity threats: CSA
A recent survey of 649 registered firms found that more than half experienced a cybersecurity incident in 2016
- By: James Langton
- October 19, 2017 September 19, 2019
- 12:30
FINRA proposes reforms to arbitration program
Proposed changes aim to make the program work better for investors
- By: James Langton
- October 19, 2017 September 19, 2019
- 11:40
Canadian banks compliant with Basel III liquidity rules
Canada receives highest grade following review
- By: James Langton
- October 18, 2017 September 19, 2019
- 12:00
OSC seeks lawyers for securities advisory committee
Applicants should have an excellent knowledge of Ontario securities law and significant practice experience in securities litigation
- By: James Langton
- October 18, 2017 September 19, 2019
- 11:30
N.B. to modernize credit union regulation
The goal is to reduce regulatory burden and costs
- By: James Langton
- October 18, 2017 September 19, 2019
- 11:20
Investia fined for failing to supervise reps’ outside business activities
One rep lived and worked in the United Sates and served clients over the phone
- By: James Langton
- October 18, 2017 September 19, 2019
- 10:10
OSFI’s revised guidelines include financial stress test on buyers
The revised guidelines will come into force Jan. 1.
- By: Armina Ligaya
- October 17, 2017 September 19, 2019
- 17:25
CFTC fintech unit issues virtual currency primer
The publication is the first in a series on fintech innovation
- By: James Langton
- October 17, 2017 September 2, 2019
- 12:00
TMX Group cracks down on marijuana companies that violate U.S. federal laws
CSA says companies must tell investors about risks
- By: Armina Ligaya
- October 16, 2017 September 2, 2019
- 21:15