Over 55s at heightened risk of fraud, says U.K. regulator
Retirees report a sharp rise in the volume of unsolicited investment calls
- By: James Langton
- May 25, 2016 December 19, 2017
- 09:30
Latest news in From the Regulators
CFTC issues final cross-border margin rule
The rule would allow swaps dealers to comply with comparable margin requirements in a foreign jurisdiction
- By: James Langton
- May 24, 2016 December 19, 2017
- 14:00
ECB concerned over risks in banking and investment fund sectors
Cyclical and structural challenges remain
- By: James Langton
- May 24, 2016 December 19, 2017
- 13:40
OSC orders fraud operators to pay more than $2.5 million
Two men and their companies have been banned over the unregistered sale of shares in Bradon Technologies
- By: James Langton
- May 24, 2016 December 19, 2017
- 12:20
Two people to share SEC whistleblower award of more than $450,000
The U.S. regulator has paid US$10 million to whistleblowers this week
- By: James Langton
- May 20, 2016 December 19, 2017
- 15:50
Canadian named to FSB climate task force
Stephanie Leaist, the head of sustainable investing at the CPPIB, is among nine new members appointed to the task force developing voluntary standards for climate-related…
- By: James Langton
- May 20, 2016 December 19, 2017
- 10:30
Investor hit with trading ban, fine
Discount brokerage client profited from insider tips from son
- By: James Langton
- May 20, 2016 December 19, 2017
- 09:45
MFDA provides guidance on cybersecurity
New bulletin suggests methods for firms to protect the confidentiality of their sensitive client data
- By: James Langton
- May 19, 2016 December 19, 2017
- 15:45
OSC hearing to consider settlement
Son tipped father ahead of merger deals, OSC alleges
- By: James Langton
- May 19, 2016 December 19, 2017
- 13:15
Court upholds OSC ruling against fund managers
Appeal of OSC decision that found fund managers “committed multiple breaches of their fiduciary obligations” was dismissed
- By: James Langton
- May 18, 2016 December 19, 2017
- 14:30
OSC issues 2016 risk assessment questionnaire
The regulator will host outreach sessions to guide firms through the process of completing the questionnaire
- By: James Langton
- May 18, 2016 December 19, 2017
- 10:30
SEC awards more than US$5M to whistleblower
Award is SEC program’s third highest to date
- By: James Langton
- May 17, 2016 December 19, 2017
- 14:00
Trade reporting requirements proposed for U.S. Treasury market
Regulatory reporting by FINRA members could provide important new information about day‑to‑day activity in both inter‑dealer and dealer‑to‑client markets
- By: James Langton
- May 17, 2016 December 19, 2017
- 10:15
W.H. Stuart founders fined $8 million
An MFDA hearing panel announced a $7-million fine for Dianne Stuart and a $1-million fine for Howard Stuart
- By: James Langton
- May 16, 2016 January 22, 2018
- 16:40
CCIR looks to close key gaps in regulation
Insurance regulators have issued a paper that suggests existing and potential gaps in disclosure between mutual funds and segregated funds may need to be addressed
- By: Megan Harman
- May 16, 2016 January 22, 2018
- 16:00
U.S. regulators invite comment on proposed rule to prohibit incentive-based pay
The proposed requirements aim to discourages inappropriate risk-taking in financial institutions
- By: James Langton
- May 16, 2016 December 19, 2017
- 14:25
Ukrainian hacker admits plotting to use stolen news releases
International scheme used stolen releases to make trades before the information came out
- By: The Associated Press
- May 16, 2016 December 19, 2017
- 13:25
U.S. crowdfunding regime takes effect
FINRA alert summarizes how equity crowdfunding works
- By: James Langton
- May 16, 2016 December 19, 2017
- 11:25
MFDA updates CRM2 FAQ
The document, which provides further clarification on certain issues, also encourages members to meet with MFDA staff to review their new CRM2 client reports
- By: Tessie Sanci
- May 13, 2016 January 22, 2018
- 16:20
OSC postpones dissemination date for OTC derivatives trade reporting
Regulator publishes final amendment to rule requirng derivatives trades to be reported to trade repositories
- By: James Langton
- May 12, 2016 December 19, 2017
- 11:00
The long road to standardized risk disclosure
Although new delivery requirements for Fund Facts kick in this month, looming reforms to a key component of the disclosure document remain a work in…
- By: James Langton
- May 12, 2016 November 9, 2019
- 09:00
AMF creates advisory committees on derivatives and mining
The deadline for applications to join the committees is June 10
- By: James Langton
- May 11, 2016 December 19, 2017
- 16:15
Point of sale: Navigating the new rules
Advisors must understand what “delivery” means — including the exceptions — to ensure they’re prepared to meet the new requirements
- By: Patricia Chisholm
- May 11, 2016 November 9, 2019
- 09:00
FINRA sanctions Arkansas brokerage poor supervision of research department emails
Stephens, Inc. fined US$900,000
- By: James Langton
- May 11, 2016 December 19, 2017
- 08:55
Market risks remain high: ESMA
The major sources of market risk include the uncertain global economic outlook and volatile commodity prices
- By: James Langton
- May 11, 2016 December 19, 2017
- 08:50