BCSC panel permanently bans B.C. man
Investors harmed by misconduct
- By: James Langton
- August 16, 2016 December 19, 2017
- 13:00
Latest news in From the Regulators
Basel Committee guidance outlines disclosure requirements
The document addresses issues such as risk management and risk-weighted asset disclosures, among various other things
- By: James Langton
- August 12, 2016 December 19, 2017
- 12:05
European regulators target virtual currency firms
The plan is to bring these firms under existing anti-money laundering regimes to prevent criminals and terrorists from using them
- By: James Langton
- August 11, 2016 December 19, 2017
- 14:35
SEC sanctions firm for violating laws related to its whistleblower program
BlueLinx must pay a US$265,000 penalty for requiring outgoing employees to waive their rights to monetary rewards if they file a complaint
- By: James Langton
- August 10, 2016 December 19, 2017
- 15:50
Australian regulator finds equity markets are getting cleaner
A new report from ASIC finds that there appear to be fewer leaks ahead of market-moving announcements
- By: James Langton
- August 10, 2016 December 19, 2017
- 08:40
B.C. rep loses licence over past conviction
Insurance rep failed to disclose conviction that occurred in Hong Kong
- By: James Langton
- August 8, 2016 December 19, 2017
- 15:50
Australian regulators issue report on enforcement of investor protection reforms
Report sheds light on effects of a new best interests standard
- By: James Langton
- August 8, 2016 December 19, 2017
- 12:20
Deutsche Bank sanctioned over failure to supervise squawk boxes
FINRA levied a fine of US$12.5 million after years of warnings about leaks of confidential information
- By: James Langton
- August 8, 2016 December 19, 2017
- 11:15
FSB examining corporate governance
International financial monitoring body to publish report in 2017
- By: James Langton
- August 8, 2016 December 19, 2017
- 11:10
No evidence liquidity deteriorated in corporate bond markets: IOSCO
Although a new report finds little evidence of decline in liquidity, it did find issues with data reporting and public disclosure requirements
- By: James Langton
- August 5, 2016 December 19, 2017
- 11:10
Barclays fined over back-office issues
Regulator says firm overcharged exchange and clearing fees
- By: James Langton
- August 4, 2016 December 19, 2017
- 14:35
FINRA issues warning on high-pressure sales calls
The U.S. regulator is warning investors that “boiler room” brokerage scams are still being carried out and defrauding investors
- By: James Langton
- August 4, 2016 December 19, 2017
- 10:45
FINRA sanctions Barclays for deficiencies in reporting audit trail data
The self-regulatory organization found 15 systems issues at the firm that gave rise to various reporting violations
- By: James Langton
- August 3, 2016 December 19, 2017
- 15:40
Singapore regulators to focus on fintech developments
A new international advisory group has been set up to help the authorities keep up with recent fintech developments
- By: James Langton
- August 3, 2016 December 19, 2017
- 10:35
Boiler room broker sentenced to two years probation
The sentence, which includes other sanctions, was handed down after Sydney Klein pleaded guilty to one count of defrauding the public
- By: James Langton
- August 2, 2016 December 19, 2017
- 13:45
U.K.’s FCA issues alert warning of dealing with unauthorized firms
Regulator warns that registered firms could be on the hook if an unauthorized introducer gives clients unsuitable advice
- By: James Langton
- August 2, 2016 December 19, 2017
- 12:40
Four Canadian regulators sign on to MOU with U.S. CFTC
Regulatory authorities in the three territories and Prince Edward Island have joined the MOU, with sets out the terms of co-operation and exchange of information
- By: James Langton
- August 2, 2016 December 19, 2017
- 12:30
IIROC proposes move to T+2
The move to reduce the settlement cycle would coincide with the same standard the U.S. market is adopting in September 2017
- By: James Langton
- August 2, 2016 December 19, 2017
- 11:25
Scotia Capital to repay investors $20 million as part of no-contest settlement
The firm had discovered that some clients in fee-based accounts were also paying trailer fees as a result of problems within its systems of control…
- By: Tessie Sanci
- July 29, 2016 December 17, 2018
- 14:50
OSC corporate finance report aims to aid compliance
The report contains an update on exempt market reform and crowdfunding
- July 28, 2016 December 19, 2017
- 13:45
ASC eases capital raising rules further
Alberta adopts prospectus exemption rule for start-ups
- By: Patricia Chisholm
- July 26, 2016 December 19, 2017
- 11:20
CSA extends comment deadline for best-interest consultation paper
The comment period on the paper, which was published on April 28, has been extended to Sept. 30; roundtable discussions will take place this autumn
- July 25, 2016 December 19, 2017
- 12:00
Ministers announce CMRA timelines and initial board of directors
Bill Black, former president and CEO of Maritime Life, will chair the 15-member board
- By: James Langton
- July 22, 2016 December 19, 2017
- 15:00
U.K., South Korea announce fintech co-operation agreement
The deal will enable regulators to share information about innovations in their respective markets
- By: James Langton
- July 22, 2016 December 19, 2017
- 14:15
Banking execs want more emphasis on shadow banking, fintech risks: OSFI
Federal regulator releases overview of consultation findings
- By: James Langton
- July 22, 2016 December 19, 2017
- 13:10