Global Maxfin reaches settlement with MFDA
Owner Issam El-Bouji to pay fine of $25,000 plus costs
- By: Fiona Collie
- June 17, 2015 December 19, 2017
- 17:00
Latest news in From the Regulators
SEC targeting online competitions using security-based swaps
U.S. regulator is warning investors about fantasy stock trading websites that may violate federal securities laws
- By: James Langton
- June 17, 2015 December 19, 2017
- 13:40
SEC charges firm, Canadian owner
U.S. regulator alleges Interinvest and Hans Peter Black funneled client assets into four stocks without disclosing Black’s interest in those companies
- By: James Langton
- June 17, 2015 December 19, 2017
- 12:45
IOSCO steps back from determining asset managers as too big to fail
The organization is also adopting a new strategic direction focused on reinforcing its position as the centre of global regulatory policy
- By: James Langton
- June 17, 2015 December 19, 2017
- 11:10
IOSCO report targets the prevention of misconduct
Regulators in emerging and developed markets should consider integrating credible deterrence into their enforcement strategies
- By: James Langton
- June 17, 2015 December 19, 2017
- 09:25
FCA seeks to encourage innovation in financial services
The British regulator is seeking input on rules and policies that may be stifling the provision of financial services through digital and mobile
- By: James Langton
- June 17, 2015 December 19, 2017
- 09:15
BCSC settles insider-trading allegations
Peter Kellogg and a controlling company should have begun filing reports of their ownership stake in MFC in 1999
- By: James Langton
- June 16, 2015 December 19, 2017
- 16:25
IIROC begins publishing enhanced data
New report from the SRO provides market share statistics by listing market as well as data on intentional crossing activity
- By: James Langton
- June 16, 2015 December 19, 2017
- 16:20
U.S. regulators revise rules for largest banks
The revisions are designed to correct and update certain important aspects of the rules that apply to large, internationally active banks
- By: James Langton
- June 16, 2015 December 19, 2017
- 12:45
ESMA to shift focus to enforcement in years ahead
European regulator is targeting three key objectives as part of its shift: investor protection, ensuring market integrity and financial stability
- By: James Langton
- June 16, 2015 December 19, 2017
- 07:10
Hong Kong brokerage firms can join London Stock Exchange
Trading firms can connect to European stock market and LSE’s derivatives market
- By: James Langton
- June 15, 2015 December 19, 2017
- 16:20
Swiss trader settles with SEC over illegal insider trading charges
Helmut Anscheringer had purchased stock and call options in a company that tech giant Apple Inc. eventually acquired
- By: James Langton
- June 15, 2015 December 19, 2017
- 16:10
BCSC alleges breach of settlement
Banned former director arranged for mining company to “sidestep” OTC Rule, regulator says
- By: James Langton
- June 12, 2015 December 19, 2017
- 15:30
SEC seeks feedback on exchange-traded products
The expansion of ETP investment strategies has led to a significant increase requests for exemptions
- By: James Langton
- June 12, 2015 December 19, 2017
- 14:10
Markets that impose speed bumps shouldn’t be protected under OPR, CSA recommends
IIROC has also proposed amendments to trading rules to conform to the CSA’s policy approach
- June 12, 2015 December 19, 2017
- 11:20
FCA limits retail distribution of regulatory capital instruments
Ordinary investors aren’t fully able to understand these kinds of complex securities, U.K. regulator says
- By: James Langton
- June 12, 2015 December 19, 2017
- 09:15
Chile to host 2016 International Conference of Banking Supervisors
The meeting involves senior supervisors and central bankers from more than 100 countries
- By: James Langton
- June 12, 2015 December 19, 2017
- 08:50
Action needed on commissions, CSA report finds
Research shows that mutual funds with higher embedded commissions drive sales and that advisors are sometimes biased in favour of these products
- By: James Langton
- June 11, 2015 December 19, 2017
- 13:00
U.K. report sets out 21 recommendations to restore trust in markets
The FEMR’s final report suggests developing a set of common standards for trading in FICC markets and extending criminal sanctions for market abuse
- By: James Langton
- June 10, 2015 December 19, 2017
- 14:10
FINRA launches game to fight investment fraud
Interactive game aims to help investors spot the tactics used by con artists
- By: James Langton
- June 10, 2015 December 19, 2017
- 13:15
European regulators launch new consultations on draft OTC derivatives rules
Proposals detail margin requirements that counterparties should exchange in non-centrally cleared trades
- By: James Langton
- June 10, 2015 December 19, 2017
- 09:20
OSC panel issues lifetime ban, $2 million in sanctions
Alleged fraudster and his companies were engaged in intentional unregistered trading and committing fraud against clients
- By: James Langton
- June 9, 2015 December 19, 2017
- 16:30
Canadian trader to pay US$1 million for short selling violations
The B.C. trader violated Rule 105 anti-manipulation provisions on nearly a dozen occasions, SEC says
- By: James Langton
- June 9, 2015 December 19, 2017
- 16:20
OSC’s proposed whistleblower program could use tweaking
Most panelists at an OSC roundtable were in favour of the OSC’s proposed program but several raised some potential concerns
- By: James Langton
- June 9, 2015 December 19, 2017
- 14:45
Court dismisses appeals by Northern Securities and its CEO
Regulator’s decisions reasonable, court rules
- By: IE Staff
- June 9, 2015 December 19, 2017
- 10:15