FINRA warns investors about “recovery scams”
New alert details a series red flags for investors
- By: James Langton
- September 19, 2016 December 19, 2017
- 10:00
Latest news in From the Regulators
Central banks are reviewing wholesale payments security
Recent incidents of cyber fraud are of significant concern for the central banking community
- By: James Langton
- September 16, 2016 December 19, 2017
- 15:00
New MFDA brochure focuses on helping clients choose the right advisor
The brochure walks investors through the development of a relationship with an advisor and suggests questions investors should ask advisor before commencing the relationship
- By: Tessie Sanci
- September 16, 2016 December 19, 2017
- 10:35
AMF report outlines disclosure deficiencies
The Quebec regulator’s report also highlights its priorities for the coming year
- By: James Langton
- September 15, 2016 December 19, 2017
- 14:40
FCA issues update on aging population strategy
A newly created advice unit will work with the industry to provide regulatory feedback on automated advice models
- By: James Langton
- September 15, 2016 December 19, 2017
- 13:10
Australian regulator releases guidance on remediation
ASIC wants to ensure retail advice firms put processes in place to compensate their clients for losses suffered as result of advisor misconduct
- By: James Langton
- September 15, 2016 December 19, 2017
- 11:00
AMF creates technological innovation advisory committee
The Quebec regulator is calling for candidates to serve on the new fintech committee
- By: James Langton
- September 15, 2016 December 19, 2017
- 10:15
ASC seeks comment on disclosure amendments
Proposed amendments would require issuers to provide disclosure on the representation of women on corporate boards and in senior management
- By: James Langton
- September 14, 2016 December 19, 2017
- 14:40
Enhanced regulatory scrutiny boosts NASAA enforcement
For first time, report shows more actions brought against registered securities industry members than non-registered individuals
- By: James Langton
- September 14, 2016 December 19, 2017
- 09:40
Minnesota’s Mike Rothman begins term as NASAA president
Cybersecurity, enforcement and seniors are top priorities for the year ahead
- By: James Langton
- September 13, 2016 December 19, 2017
- 15:15
IIROC announces board of directors
New directors include Luc Paiement and Thomas Wittman
- September 13, 2016 December 19, 2017
- 12:50
Work needed on conflict of interest rules, says IIROC CEO
The SRO will make certain that its rules and guidance put the best interest of clients ahead of dealers and reps
- By: James Langton
- September 13, 2016 December 19, 2017
- 10:40
One person to be dropped from allegations of insider trading with former Amaya CEO
12 people are alleged to have used access to privileged information about impending Amaya acquisitions to reap nearly $1.5 million in profit over five years
- By: Ross Marowits
- September 12, 2016 December 19, 2017
- 16:40
NASAA issues guide to protecting seniors
Publication aims to help protect senior clients from the adverse consequences of financial exploitation and diminished capacity
- By: James Langton
- September 12, 2016 March 28, 2018
- 12:00
NASAA compliance exams focus on seniors
The product most commonly associated with potentially unsuitable recommendations is variable annuities
- By: James Langton
- September 12, 2016 December 19, 2017
- 11:30
NSSC warns of unregistered firm
Venture Pro Trader pitching gold options
- By: James Langton
- September 9, 2016 December 19, 2017
- 14:00
Promissory notes not securities
Court rules against the Ontario Securities Commission
- By: James Langton
- September 9, 2016 December 19, 2017
- 13:15
OSFI proposes changes to bank capital rules
Planned revisions to the treatment of insured residential mortgages reflect changing risks
- By: James Langton
- September 9, 2016 December 19, 2017
- 11:00
U.S. financial industry opposes recommendations to repeal merchant banking
U.S. regulators aim to create a more level playing filed and enhance safety
- By: James Langton
- September 9, 2016 December 19, 2017
- 09:00
SEC sanctions two firms for wrap program disclosure failings
Wrap programs are one of the regulator’s compliance priorities
- By: James Langton
- September 8, 2016 December 19, 2017
- 14:30
NASAA expands Senior$afe
The anti-exploitation program will now include training for employees of banks and credit unions
- By: James Langton
- September 8, 2016 December 19, 2017
- 14:20
Regulators issue FAQ on investment dealer prospectus exemption
Investors can participate in a distribution even if their investment dealer advises against it
- By: James Langton
- September 8, 2016 December 19, 2017
- 13:30
CFTC approves systems testing requirements
New rules aim to ensure derivatives market participants are adequately evaluating their cyber risks, and testing their cybersecurity defenses
- By: James Langton
- September 8, 2016 December 19, 2017
- 13:10
FCA reviewing crowdfunding rules
U.K. regulator pondering the introduction of due diligence requirements
- By: James Langton
- September 8, 2016 December 19, 2017
- 11:30
OSC announces seniors expert advisory committee members
SEAC advises OSC staff on policy and operational issues concerning older investors
- By: James Langton
- September 7, 2016 December 19, 2017
- 14:15