FINRA issues alert about smart beta index funds
U.S. regulator warns of risks, complexity and expenses
- By: James Langton
- September 23, 2015 December 19, 2017
- 12:40
Latest news in From the Regulators
Nova Scotia bans former mutual fund rep
Timothy Wade MacDonald pled guilty to eight counts of fraud
- By: James Langton
- September 23, 2015 December 19, 2017
- 12:05
SEC settles with R.T. Jones over cybersecurity breach
The firm has agreed to cease and desist from committing any future violations, to be censured and to pay a US$75,000 penalty
- By: James Langton
- September 23, 2015 December 19, 2017
- 06:50
AMF warns investors about A&L Royal Finance
The Quebec regulator is following in the footsteps of the BCSC, which issued a warning about this firm in May
- By: Tessie Sanci
- September 22, 2015 December 19, 2017
- 15:10
New York regulator issues first license for virtual currency to Circle Internet Financial
Department of Financial Services spokesperson says regulator is reviewing applications from 24 other companies
- By: Michael Virtanen
- September 22, 2015 December 19, 2017
- 14:05
SEC proposes rule reforms for U.S. mutual funds and ETFs
Comprehensive reforms will require the adoption of measures for funds to manage their liquidity risk
- By: James Langton
- September 22, 2015 December 19, 2017
- 13:50
Despite decline in enforcement activity, U.S. state regulators remain busy
Unregistered securities distributions and unregistered investment professionals are still the most common complaints
- By: James Langton
- September 22, 2015 December 19, 2017
- 13:35
CSI to remain IIROC’s sole provider of proficiency education until 2020
IIROC is adopting a new model that will see it award the job of delivering industry education to a single provider for five-year terms
- By: James Langton
- September 22, 2015 December 19, 2017
- 11:10
Women representation on boards still very low, but growing
The results of research on Alberta-based issuers reveal that women representation on boards varies greatly depending on a company’s size
- By: James Langton
- September 22, 2015 December 19, 2017
- 10:55
OSC’s CRR branch dealing with slew of regulatory reforms
New report suggests that the compliance and registrant regulation branch is analyzing approaches for creating a best interest standard
- By: James Langton
- September 21, 2015 December 19, 2017
- 13:45
Canadian lawyer settles U.S. charges in microcap scheme
Two U.S. audit firms and seven audit professionals also agreed to settle the SEC’s charges
- By: James Langton
- September 18, 2015 December 19, 2017
- 13:20
Regulators approve changes to trading rules
With the launch of TSX Alpha Exchange, an unprotected market will be operating alongside protected markets for the first time
- By: James Langton
- September 18, 2015 December 19, 2017
- 13:00
CFTC defines Bitcoin as a commodity
U.S. regulator concludes first action against an unregistered Bitcoin options trading platform
- By: James Langton
- September 18, 2015 December 19, 2017
- 10:30
FINRA moves to help firms better protect seniors
Proposed rule would permit firms to place temporary holds on accounts in cases of suspected financial exploitation
- By: James Langton
- September 17, 2015 December 19, 2017
- 15:50
Mystery shop highlights investor difficulties with advisors
Shortcomings were noted in several areas, including suitability, awareness of advisor credentials and fee disclosure
- By: James Langton
- September 17, 2015 December 19, 2017
- 13:30
CSA seeks comments on enhancing fixed-income transparency
Regulators propose making corporate debt trading publicly available
- By: James Langton
- September 17, 2015 December 19, 2017
- 10:15
FINRA releases guidance on liquidity risk management practices
Guidance highlights best practices at U.S. brokerage firms
- By: James Langton
- September 16, 2015 December 19, 2017
- 10:50
IOSCO identifies best practices for investment risk education
Report recommends initiatives that focus on influencing retail investor attitudes, behavior and knowledge
- By: James Langton
- September 15, 2015 December 19, 2017
- 13:50
FCA should rate firms’ behaviour, says consumer panel
A simple rating would help consumers decide which firms are likely to treat them well
- By: James Langton
- September 15, 2015 December 19, 2017
- 10:20
Global banks in compliance with Basel III minimum capital standards: report
However, banks are still falling short of the higher target levels
- By: James Langton
- September 15, 2015 December 19, 2017
- 09:30
Ukrainian traders to pay US$30M to settle newswire hacking case
Jaspen Capital Partners and its CEO agree to return funds to settle SEC allegations
- By: James Langton
- September 14, 2015 December 19, 2017
- 15:35
MFDA publishes CRM2 implementation guide
Fund dealers face a number of decisions
- By: James Langton
- September 14, 2015 December 19, 2017
- 15:00
OSC denies registration for Pro-Financial founder
Stuart McKinnon had sought an exemption to register with De Thomas Financial
- By: James Langton
- September 14, 2015 December 19, 2017
- 11:50
European regulators raise market risk indicator to highest level
The increase is due to recent market volatility
- By: James Langton
- September 14, 2015 December 19, 2017
- 10:15
OSFI extends deadline for G-SIB public disclosure requirements
The change is intended to accommodate the October year-ends of Canada’s big banks
- By: James Langton
- September 14, 2015 December 19, 2017
- 09:15