U.S. banking regulators move curb systemic risk
Federal Reserve proposes two rules
- By: James Langton
- May 3, 2016 December 19, 2017
- 15:50
Latest news in From the Regulators
SEC charges 10 in ForceField Energy fraud
The firm’s Canadian chairman paid others to tout the company’s stock, regulator alleges
- By: James Langton
- May 3, 2016 December 19, 2017
- 14:00
MetLife to pay US$25 million over variable annuities
Misrepresentations made replacement annuities appear more beneficial, even though they were typically more expensive than clients’ existing annuities, FINRA says
- By: James Langton
- May 3, 2016 December 19, 2017
- 11:15
BoC designates Automated Clearing and Settlement System
The move brings the ACSS under the formal oversight of the central bank, and requires it to comply with risk management standards
- By: James Langton
- May 2, 2016 December 19, 2017
- 09:20
MFDA bans founders of W.H. Stuart permanently
The founders have also been ordered to pay $50,000 toward the costs of the hearing, but monetary policies will come “in due course”
- By: James Langton
- April 29, 2016 January 22, 2018
- 15:55
No consensus on CSA’s best interest proposal
Regulators, investor advocates and the investment industry have varying and deeply entrenched views about the CSA’s proposed reforms
- By: James Langton
- April 29, 2016 December 19, 2017
- 14:40
OSFI proposes changes to capital requirements for loans secured by real estate
The proposed changes would apply to federally regulated banks that use internal ratings-based approach to credit risk
- By: James Langton
- April 29, 2016 December 19, 2017
- 13:15
Rep cannot seek registration for a year due to lies related to affair
John Doe has admitted to making misstatements about an extra-marital affair as well as unauthorized disclosure of confidential information
- By: James Langton
- April 29, 2016 January 22, 2018
- 12:00
IIROC fines Calgary advisor $100,000
Allen Samuel Mendelman has also been suspended 18 months in response to various infractions when he was an advisor with Canaccord Genuity
- By: Tessie Sanci
- April 29, 2016 January 22, 2018
- 10:30
Saleswoman gets jail time for breaching cease trade order, unregistered trading
Michelle dunk pays $60,000 in restitution to Hockley Energy investors
- By: James Langton
- April 29, 2016 January 22, 2018
- 10:00
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
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