NASAA unveils training program to combat elder financial abuse
State securities regulators to offer training to broker-dealers and investment advisors
- March 30, 2016 December 19, 2017
- 14:05
Latest news in From the Regulators
Ontario man sentenced to jail for securities violations
Vernon Smith was convicted on two counts of unregistered trading, one count of unregistered advising, and four counts of breaching OSC cease trade orders
- By: James Langton
- March 30, 2016 December 19, 2017
- 13:50
IIROC and FSCO sign disciplinary information-sharing agreement
The regulators will work together to strengthen consumer protection in Ontario
- By: James Langton
- March 30, 2016 January 29, 2018
- 13:30
Australian regulators concerned about industry culture
Poor industry conduct has eroded the trust and confidence of investors
- By: James Langton
- March 30, 2016 December 19, 2017
- 12:00
Insurance regulators contemplate new disclosure requirements for seg funds
The CCIR plans to publish a consultation paper this spring to discuss potential methods of closing the gap between mutual fund and seg fund disclosure…
- By: Megan Harman
- March 30, 2016 December 19, 2017
- 11:30
BIS launches survey of FX and OTC derivatives markets
The survey aims to help central banks monitor developments in global financial markets
- By: James Langton
- March 30, 2016 December 19, 2017
- 09:30
Alberta NDP government rejects proposed national securities regulator
Province requires its own “unique” regulator, finance minister says
- By: Ian Bickis
- March 29, 2016 December 19, 2017
- 16:35
U.S. Fed taps McKinsey for payments task force
Consulting firm will help assess possible options for improving the speed, safety and efficiency of payments
- By: James Langton
- March 29, 2016 December 19, 2017
- 16:30
U.S. financial regulatory structure could be streamlined
GAO report calls on U.S. Congress to consider reforms to improve effectiveness
- By: James Langton
- March 29, 2016 December 19, 2017
- 14:15
Private equity exec charged with securities fraud
Institutional investors defrauded in a scheme that involved fictitious fund investments, SEC alleges
- By: James Langton
- March 28, 2016 December 19, 2017
- 16:05
MFDA review finds deficiencies with audits
Bulletin aims to enhance awareness and understanding of the special audit requirements for external auditors of mutual fund dealers
- By: James Langton
- March 28, 2016 December 19, 2017
- 12:40
CSA warns Canadians about dangers of online binary options platforms
As the trading platforms are often based overseas and money is moved out of Canada, it’s almost impossible to recover assets if something goes wrong,…
- By: Tessie Sanci
- March 23, 2016 January 22, 2018
- 12:20
Amaya CEO faces charges of market manipulation
David Baazov was charged as part of an investigation by the AMF
- By: The Canadian Press
- March 23, 2016 January 22, 2018
- 10:30
FINRA and Nasdaq fine Wedbush Securities US$675,000
The U.S. brokerage was censured for supervisory violations relating to chronic fails to deliver by a client in multiple ETFs
- By: James Langton
- March 21, 2016 December 19, 2017
- 12:25
Australian regulator consults on proposed guidance on robo-advisors
A separate ASIC report reviews conflicts of interest in in vertically integrated funds management businesses
- By: James Langton
- March 21, 2016 December 19, 2017
- 12:15
New MFDA proficiency requirement approved
The measure aims to ensure that reps have adequate training and proficiency when they deal in products, such as ETFs
- By: James Langton
- March 18, 2016 December 19, 2017
- 15:30
OSC fines former rep for trading without registration
Julius Vitug helped an Alberta company raise approximately $10 million while under an IIROC ban
- By: James Langton
- March 17, 2016 December 19, 2017
- 10:35
Deterring illegal insider trading a top priority for AMF enforcement
The Quebec securities regulator ordered sanctions totalling more than $8.5 million in 2015
- By: James Langton
- March 16, 2016 December 19, 2017
- 13:50
PCAOB sanctions five broker-dealer audit firms
The orders reflect the U.S. audit regulator’s commitment to enforcing basic independence requirements
- By: James Langton
- March 15, 2016 December 19, 2017
- 16:40
U.K. man sentenced for failing to pay confiscation order
IIROC looks to the courts to boost its collection rate in Ontario
- By: James Langton
- March 15, 2016 December 19, 2017
- 11:30
OSC announces Continuous Disclosure Advisory Committee members
The CDAC advises OSC staff on the planning, implementation and communication of its continuous disclosure review program
- By: James Langton
- March 15, 2016 December 19, 2017
- 10:00
FINRA offers guidance for robo-advisors
Investors should be aware that conflicts of interest can exist even with digital investment advice
- By: James Langton
- March 15, 2016 December 19, 2017
- 09:20
SEC charges AIG affiliates with mutual fund shares conflicts
The firms have agreed to pay more than US$9.5 million to resolve the charges
- By: James Langton
- March 14, 2016 December 19, 2017
- 14:50
U.K. report aims to make financial advice work better for consumers
However, the report is not recommending a return to commission-based advice
- By: James Langton
- March 14, 2016 December 19, 2017
- 13:30