FCAA issues warning on possible scam
The alleged “recovery room” scam targets victims of binary options schemes
- By: James Langton
- May 18, 2017 March 1, 2019
- 15:00
Latest news in From the Regulators
U.S. CFTC to introduce fintech lab
LabCFTC aims to foster “responsible innovation” among fintech innovators and provide information to help inform policy development
- By: Beatrice Paez
- May 18, 2017 March 1, 2019
- 13:25
EBA consults on banks’ use of cloud computing
Proposed guidance seek to clarify regulators’ expectations
- By: James Langton
- May 18, 2017 March 1, 2019
- 11:30
CSA finds widespread compliance deficiencies at smaller firms
The results of the review of 65 small firms also provides additional guidance for these firms to meet their obligations
- By: James Langton
- May 18, 2017 March 1, 2019
- 11:00
IOSCO conference opens in Jamaica
Regulators are focused on strengthening market resilience
- By: James Langton
- May 17, 2017 March 1, 2019
- 14:15
IIROC announces consultation on client identifiers
Regulator requests initial comments and proposes working group
- By: James Langton
- May 17, 2017 March 1, 2019
- 10:40
FINRA reviewing brokers’ outside business activities
Regulator to examine whether the rules are effective in dealing with the kinds of problems they were intended to address
- By: James Langton
- May 15, 2017 March 1, 2019
- 15:00
FSCO issues warning about GCA Group
The firm is not licensed or registered to conduct syndicated mortgage business in Ontario
- By: James Langton
- May 15, 2017 March 1, 2019
- 14:00
Quebec court dismisses appeal in illegal distributions case
18-month jail sentence establishes a deterrent to others
- By: James Langton
- May 12, 2017 March 1, 2019
- 14:20
FCA and SFC sign fintech co-operation agreement
The agreement is one of several intended to foster innovation on a global scale
- By: James Langton
- May 12, 2017 March 1, 2019
- 09:40
FINRA proposals would strengthen controls on high-risk brokers
Forthcoming proposals will include enhanced disclosure, heightened supervision
- By: James Langton
- May 11, 2017 March 1, 2019
- 14:45
CSA report: divisions remain over “best interest”
Despite alignment on several issues, best interest standard remains a key point of divergence
- By: James Langton
- May 11, 2017 March 1, 2019
- 12:40
Exec failed to disclose perks to shareholders: SEC
Former MDC Partners CEO Miles Nadal agrees to pay US$5.5 million to settle charges
- By: James Langton
- May 11, 2017 March 1, 2019
- 12:10
Quebec court finds new national securities regulator to be unconstitutional
Court rules that proposed mechanism for amending securities laws “fetters the parliamentary sovereignty of the participating provinces
- By: James Langton
- May 10, 2017 March 1, 2019
- 17:40
Alberta EMDs failing to meet regulatory obligations
A compliance sweep the ASC carried out on 66 exempt-market dealers found deficiencies in every area the regulator examined
- By: James Langton
- May 10, 2017 March 1, 2019
- 15:40
Former SEC staffer pleads guilty to improper trading
David Humphrey, former accountant and branch chief in the SEC’s corporate finance division, will be sentenced in August
- By: James Langton
- May 9, 2017 March 1, 2019
- 15:10
OSC announces derivatives roundtable
The investment industry will get its chance to weigh in on plans to overhaul the regulation of the over-the-counter derivatives market
- By: James Langton
- May 9, 2017 March 1, 2019
- 09:50
New Alberta law to give SROs greater powers
IIROC and the MFDA would be given the power to compel evidence and the ability to compel the production of documents and records
- By: James Langton
- May 9, 2017 March 1, 2019
- 09:00
N.Z. regulator using behavioural economics to prompt retirement savers
The FMA is exploring whether savers can be pushed to seek financial advice
- By: James Langton
- May 8, 2017 March 1, 2019
- 13:30
FSCO issues warning on unlicensed mortgage broker
Police issue scam alert regarding Stride Lending Group
- By: James Langton
- May 5, 2017 March 1, 2019
- 15:30
Former advisor fined for “dual occupations”
Paul Wemple has been banned from working with MFDA firms
- By: Beatrice Paez
- May 5, 2017 March 1, 2019
- 10:30
OSC hearing into Home Capital adjourned to June 2
The regulator’s allegations have prompted some customers to pull their deposits
- By: The Canadian Press
- May 4, 2017 March 1, 2019
- 16:05
Much debate on new CE proposals
Although industry participants are generally onside with enhanced CE standards for advisors, there are some big concerns
- By: IE Staff
- May 4, 2017 March 1, 2019
- 13:50
Australian hackathon leverages Ontario experience
The event, which follows a similar none held by the OSC, will explore tech-driven solutions to regulatory issues
- By: James Langton
- May 4, 2017 March 1, 2019
- 13:20
OSC cannot revisit terms of regulatory enforcement order
Hearing panel rules against application from Global RESP and Global Growth Assets, whose UDP was suspended in an earlier proceeding
- By: James Langton
- May 3, 2017 March 1, 2019
- 15:10