CSA addresses perceived decline in fixed income liquidity
New guidance on the international dealer exemption aims to sooth concerns raised by Canadian institutional investors
- By: IE Staff
- September 1, 2016 December 19, 2017
- 10:30
Latest news in From the Regulators
Two men sentenced following unregistered trading conviction
The pair have both been sentenced to three months in jail, followed by 18 months of probation and 125 community service, according to the OSC
- By: James Langton
- August 26, 2016 December 19, 2017
- 13:25
OSC delivers significant surplus in fiscal 2015-16
The increase in revenue was due primarily to the impact of new fee rules, particularly higher participation fees
- By: James Langton
- August 26, 2016 December 19, 2017
- 13:15
Venard Gaudet fined and sentenced to one year of probation
Gaudet, whom the OSC had banned permanently in 1991, admitted to trading without registration and issuing securities without a prospectus
- By: James Langton
- August 26, 2016 December 19, 2017
- 10:55
More work needs to be done on OTC reforms, FSB report finds
But there’s good progress on trade reporting requirements for OTC derivatives, and higher capital requirements for non-centrally cleared derivatives are mostly in force
- By: James Langton
- August 26, 2016 December 19, 2017
- 10:50
OSC grants relief from Fund Facts delivery to two firms
Mackenzie and Quadrus will not have to deliver the document to clients if they’re in a program that automatically switches them to a lower-fee series
- By: James Langton
- August 26, 2016 December 19, 2017
- 10:30
SEC sanctions 13 firms for spreading false information
New rule amendments aim to enhance advisor report and disclosure
- By: James Langton
- August 25, 2016 December 19, 2017
- 15:30
IOSCO report on investment fund fees seeks to enhance market efficiency
The report sets out examples of good practice in disclosure, compensation, transaction costs and commissions
- By: James Langton
- August 25, 2016 December 19, 2017
- 14:30
Two sentenced in hospital privacy breach case involving improper referral arrangement
Polina Edry and Subramaniam Sulur were both fined, sentenced to community service and probation after pleading guilty for purchasing contact information of new mothers
- By: James Langton
- August 24, 2016 December 19, 2017
- 14:00
IIROC’s new consolidated enforcement rules take effect next week
The new rules combine the existing sets of dealer and marketplace rules into a single set of rules for all enforcement proceedings
- By: James Langton
- August 24, 2016 December 19, 2017
- 11:15
Singapore regulator establishes fintech innovation lab
New lab underscores MAS’ commitment to promoting a culture of innovation in the financial sector
- By: James Langton
- August 24, 2016 December 19, 2017
- 09:00
BCSC panel bans, fines man for fraud
Thomas Williams and the Global Group of Companies raised $11.7 million from 123 investors
- By: James Langton
- August 23, 2016 December 19, 2017
- 13:15
IIROC fees to rise
The self-regulatory organization releases its annual report for 2015-2016
- By: James Langton
- August 23, 2016 December 19, 2017
- 11:00
SEC warns investors about possible scams connected to natural disasters
Fraudsters may also target individuals receiving compensation from insurance companies
- By: James Langton
- August 22, 2016 December 19, 2017
- 16:00
CSA to measure impact of point of sale, CRM2
The research will cover activity from 2016 through 2019 and is expected to be completed by 2021
- By: James Langton
- August 22, 2016 December 19, 2017
- 11:00
CFTC flags alleged rule violations
U.S. derivatives regulator charges two firms
- By: James Langton
- August 19, 2016 December 19, 2017
- 17:00
FINTRAC assessing vulnerability of fintech startups
Many startups may not realize they are required to register with the anti money-laundering agency
- By: Alexandra Posadzki
- August 18, 2016 December 19, 2017
- 14:15
Fraudster sentenced to 27 months in prison
Roberto Castano ordered to pay $1.5 million in restitution to victims of Ponzi scheme
- By: James Langton
- August 18, 2016 December 19, 2017
- 13:15
IOSCO consults on investment fund terminations
Global regulators aim increase investor protection
- By: James Langton
- August 18, 2016 December 19, 2017
- 11:10
CSA seeks comment on move to T+2 settlement cycle
A shorter cycle is expected to mitigate risk in securities clearing and settlement
- By: James Langton
- August 18, 2016 December 19, 2017
- 09:50
Canadian gets jail time in U.S. penny stock fraud case
Sandy Winick sentenced to 78 months in prison and ordered to pay US$7.4 million
- By: James Langton
- August 17, 2016 December 19, 2017
- 15:15
OSFI delays deadline for bank disclosure requirements
The delay will allow banks to focus on implementing certain new accounting standards first
- By: James Langton
- August 17, 2016 December 19, 2017
- 11:30
SEC sanctions firm over whistleblower awards waiver
U.S. health insurer introduced a provision that would deter departing employees from filing applications for SEC whistleblower awards
- By: James Langton
- August 16, 2016 December 19, 2017
- 14:00
Reports advance regulatory agenda on central counterparties
Guidance designed to bolster supervision and oversight of CCPs
- By: James Langton
- August 16, 2016 December 19, 2017
- 13:30