IIROC proposes changes to client cash rules
Amendments seek to appropriately restrict a dealer’s ability to use client free credit cash balances
- By: James Langton
- April 28, 2016 December 19, 2017
- 14:20
Latest news in From the Regulators
FINRA issues report cards covering “spoofing” and “layering”
New reports designed to help firms spot and halt potential market manipulation
- By: James Langton
- April 28, 2016 December 19, 2017
- 13:30
CSA proposes best interest standard
Not all member regulators are in agreement
- By: James Langton
- April 28, 2016 December 19, 2017
- 09:50
SEC seeks feedback on plan to create a consolidated audit trail
Proposal would enable regulators to efficiently track all trading activity in the U.S. equity and options market
- By: James Langton
- April 27, 2016 December 19, 2017
- 13:35
MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules
The allegations against the firm and Dianne Stuart stemmed from the firm taking $6 million from clients and diverting it to other uses
- By: James Langton
- April 27, 2016 January 22, 2018
- 10:45
IIROC white paper presents opportunity for discussion: head of MFDA
Although only the CSA has the jurisdiction to change the regulatory landscape in Canada, the white paper raises some very important questions for regulators, said…
- By: Tessie Sanci
- April 27, 2016 January 22, 2018
- 09:20
ASC sanctions saleswoman, companies for breaching securities laws
Candice Graf ordered to pay $250,000 administrative penalty
- By: IE Staff
- April 26, 2016 December 19, 2017
- 14:20
IOSCO, Harvard announce training program for securities regulators
The new program will be officially rolled out in October in Madrid
- By: James Langton
- April 26, 2016 December 19, 2017
- 13:20
MFDA to pursue reciprocal disciplinary standard for dual-licensed advisors
The SRO is looking to expand its MOU with FSCO to include reciprocal discipline in areas such as outside business activities and borrowing from clients
- By: Tessie Sanci
- April 26, 2016 December 19, 2017
- 06:30
IIROC introduces mediation program
The goal of the voluntary program is to speed up the resolution of enforcement cases
- By: James Langton
- April 25, 2016 January 22, 2018
- 14:15
New data on OTC equity trading now available, FINRA announces
Enhanced disclosure serves the interests of investors
- By: James Langton
- April 25, 2016 December 19, 2017
- 13:50
SEC extends test of volatility project
“Limit up limit down” program will run for a second year
- By: James Langton
- April 22, 2016 December 19, 2017
- 12:45
Weizhen Tang permanently banned from Ontario markets
OSC issues ruling based on previous fraud conviction
- By: James Langton
- April 22, 2016 December 19, 2017
- 11:30
Nova Scotia amendments protect investors
The changes will allow certain enforcement orders from other provincial regulators to apply right away in Nova Scotia
- By: IE Staff
- April 21, 2016 December 19, 2017
- 16:15
CSA publishes guidance for exempt market filings on SEDAR
The requirement to use SEDAR takes effect on May 24
- By: James Langton
- April 21, 2016 January 22, 2018
- 14:00
CSA to enhance transparency in corporate bond market
Given a lack of consensus on the CSA’s proposal, regulators have decided to go forward with original plan proposed last year
- By: James Langton
- April 21, 2016 January 22, 2018
- 13:00
IFIC comes out against IIROC’s white paper proposals
Submission to the SRO’s white paper suggests that removing the 270-day rule would “begin to unravel the current SRO system”
- By: James Langton
- April 21, 2016 December 19, 2017
- 11:35
Cross-border derivatives market oversight moves forward
Three more provinces agree to enhance co-operation with CFTC
- By: James Langton
- April 21, 2016 December 19, 2017
- 08:40
MFDA moves closer to having mutual fund reps sell ETFs
The regulator is also taking a proactive approach to members’ concerns about cost and compensation reporting coming into effect with CRM2
- By: Tessie Sanci
- April 20, 2016 November 9, 2019
- 16:45
Manitoba securities investigator randomly contacted by illegal investment firm
Senior investigator Jason Roy was called at home by an unregistered binary options trading firm
- By: James Langton
- April 20, 2016 January 22, 2018
- 15:15
FINRA securities helpline for seniors marks first year
US$1.3 million returned to investors
- By: James Langton
- April 20, 2016 December 19, 2017
- 15:00
MFDA disciplinary findings added to lawsuit
Fund dealers dispute liability for former advisor’s misconduct
- By: James Langton
- April 20, 2016 January 22, 2018
- 14:35
IAP report calls for action on investor protection
The panel continues to push the OSC to introduce a best interest standard
- By: James Langton
- April 20, 2016 December 19, 2017
- 11:00
AMF urges caution about peer-to-peer risk sharing platforms
The Quebec regulatory has yet to decide on the compliance of these products and the companies offering them
- By: James Langton
- April 20, 2016 January 22, 2018
- 08:30
FINRA reminds firms about obligations regarding pension income stream products
There can be “significant consequences” if a firm incorrectly treats a pension income stream product as not being a security
- By: James Langton
- April 19, 2016 December 19, 2017
- 10:25