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
Latest news in From the Regulators
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
BCSC panel permanently bans B.C. man
Investors harmed by misconduct
- By: James Langton
- August 16, 2016 December 19, 2017
- 13:00
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