SEC bulletin educates investors on T+2
SEC’s Office of Investor Education and Advocacy tackles the shortening of the settlement cycle
- By: James Langton
- August 22, 2017 May 31, 2019
- 11:50
Latest news in From the Regulators
Former fund salesperson committed fraud: BCSC panel
Investor funds diverted for personal expenses
- By: James Langton
- August 21, 2017 May 31, 2019
- 15:00
OSFI proposes revisions to capital adequacy rules in advance of IFRS 9
Comments on the proposals are due by Sept. 29
- By: James Langton
- August 21, 2017 May 31, 2019
- 10:35
NASAA survey highlights greater need for senior financial fraud detection
Industry and regulators need to apply greater resources to stop financial fraud against seniors
- By: James Langton
- August 21, 2017 May 31, 2019
- 10:00
BCSC investigation leads to arrest
Rog Mangat is facing fraud charges related to an alleged scheme that he called Privileged Investment Group
- By: IE Staff
- August 14, 2017 May 31, 2019
- 15:35
IIROC to hold annual meeting on Sept. 12
The SRO will be conducting routine business, such as electing directors, appointing auditors and considering its financial statements
- By: James Langton
- August 11, 2017 May 31, 2019
- 09:15
OSC Dialogue 2017 to feature FCA, SEC executives
The OSC’s annual conference will focus mostly on how technology is leading to disruptive change in financial services
- By: James Langton
- August 10, 2017 May 31, 2019
- 14:50
OSC, FPSC sign agreement to co-operate and share information
The agreement will help the OSC and the FPSC carry out their registration/certification, compliance and enforcement duties
- By: James Langton
- August 10, 2017 May 31, 2019
- 14:20
OSC approves settlement with Home Capital Group, former execs
Gerald Soloway, Robert Morton and Martin Reid have also been prohibited from serving as officers or directors for a period of time
- By: James Langton
- August 9, 2017 May 31, 2019
- 12:00
AMF issues warning about PlexCoin
The new virtual currency is scheduled to start on Aug. 7 even though the Financial Markets Administrative Tribunal issued orders against firms selling it
- By: James Langton
- August 4, 2017 May 31, 2019
- 15:30
European regulators to study impact of regulatory sandboxes
There are concerns that regulatory “sandboxes” could potentially lead to level playing field issues and forum shopping
- By: James Langton
- August 4, 2017 May 31, 2019
- 10:30
U.S. derivatives regulator names chairman
Christopher Giancarlo to head Commodity Futures Trading Commission
- By: James Langton
- August 4, 2017 May 31, 2019
- 08:55
Former mutual fund rep fined and banned permanently
Arash Gabriel Armani refused to co-operate with a regulatory investigation into his conduct
- By: James Langton
- August 3, 2017 May 31, 2019
- 15:50
Fed aims to reduce compliance burden on bank directors
U.S. regulator wants directors to focus on core responsibilities
- By: James Langton
- August 3, 2017 May 31, 2019
- 15:30
Real-time reporting by exchanges considered for T+2 transition
The CSA says most current trade processing practices will be adequate
- By: James Langton
- August 3, 2017 May 31, 2019
- 14:55
U.S. regulators sanction PwC
The firm was found to have violated the audit rules in connection with its audit of U.S. brokerage firm Merrill Lynch
- By: James Langton
- August 3, 2017 May 31, 2019
- 13:30
IIROC reaches settlement with three former All Group reps
James Alexander Moon, Michael Edward Comeau and Mitchell Torch admitted they failed to verify certain clients qualified as accredited investors
- By: James Langton
- August 3, 2017 May 31, 2019
- 11:15
OCC seeks input on revisions to Volcker Rule
A consensus has emerged that the Volcker Rule “needs clarification and recalibration to eliminate burden on banks that do not present systemic risks”
- By: James Langton
- August 2, 2017 May 31, 2019
- 12:50
SEC settles with Vancouver man for role in pump-and-dump scheme
Joe Yiu Cheung has agreed to pay almost US$800,000 and to be banned permanently from dealing with penny stocks
- By: James Langton
- August 2, 2017 May 31, 2019
- 10:55
Brokerage firms in the U.S. to have simplified single filing portal
FINRA and the SIPC reached an agreement that’s intended to reduce the compliance burden and costs for firms
- By: James Langton
- August 1, 2017 May 31, 2019
- 13:00
Ontario court rejects appeal
Two men convicted of securities law violations lose bid to appeal convictions and penalties
- By: James Langton
- August 1, 2017 May 31, 2019
- 11:15
New York boosts cybersecurity
State regulator launches online portal for financial firms to report possible breaches
- By: James Langton
- July 31, 2017 May 31, 2019
- 15:35
OSFI sets out new rules for pension plans’ use of derivatives
Changes to derivatives guideline aim to reflect current practices for the risk-management of derivatives activities
- By: James Langton
- July 31, 2017 May 31, 2019
- 15:00
CSA’s big education efforts targeted CRM2 and binary options scams
The provincial regulators placed significant efforts through video and other campaigns to make investors aware of these growing issues
- By: James Langton
- July 31, 2017 May 31, 2019
- 10:45