N.Y. watchdog flags cyber security at banks’ third-party vendors
A bank’s cyber security is often only as good as the cyber security of its vendors
- By: James Langton
- April 10, 2015 December 19, 2017
- 13:30
Latest news in From the Regulators
Manufacturers, portfolio advisors wanted for OSC committee
The IFPAC provides OSC staff with insight into product development trends in the investment fund business
- By: James Langton
- April 10, 2015 December 19, 2017
- 11:15
Room for improvement in mining issuers’ website disclosure: CSA
Only 18% of investor presentations reviewed were deemed to be substantially compliant
- By: James Langton
- April 9, 2015 December 19, 2017
- 11:45
CSA streamlines disclosure for venture issuers
Amendments intended to reduce regulatory burden without compromising investor protection
- By: James Langton
- April 9, 2015 December 19, 2017
- 10:30
NASAA research shows investor confusion over fees
Investors want to see improved disclosure
- By: James Langton
- April 8, 2015 December 19, 2017
- 10:45
Ex pro footballer charged with fraud
Alleged Ponzi scheme promised investors profits from loans to professional athletes
- By: James Langton
- April 7, 2015 December 19, 2017
- 13:00
IOSCO consults on continuity plans for trading venues and intermediaries
Reports call on regulators to set standards for firms to adopt
- By: James Langton
- April 7, 2015 December 19, 2017
- 08:50
MDFA launching seniors group
Consultation group intended to provide MFDA staff with input from dealers on the challenges they face in servicing senior clients
- By: James Langton
- April 7, 2015 December 19, 2017
- 07:00
Australian regulators eye possible rate decision leak
ASIC says it will investigate spike in Australian dollar
- By: James Langton
- April 7, 2015 December 19, 2017
- 02:25
OSC seeks ban against man convicted of fraud
Regulator alleges mortgage investment scam defrauded victims of more than $7.5 million
- By: James Langton
- April 6, 2015 December 19, 2017
- 15:20
Retail investor protection top priority for OSC
The Ontario securities regulator has issued a draft of its 2015 priorities
- By: James Langton
- April 2, 2015 December 19, 2017
- 13:15
CSA supports U.S. move to two-day settlement
There is a consensus that the Canadian securities industry will be able to make a smooth transition to T+2 once a date has been set
- By: James Langton
- April 2, 2015 December 19, 2017
- 12:30
Reminder to fund managers on OTC derivatives
OSC releases April 2015 issue of Investment Funds Practitioner
- By: James Langton
- April 2, 2015 December 19, 2017
- 11:25
U.S. firm to pay SEC penalty in whistleblower protection case
Confidentiality provisions have a potential chilling effect on whistleblowers’ willingness to report illegal conduct
- By: James Langton
- April 1, 2015 December 19, 2017
- 16:10
U.S. resident agrees to BCSC sanctions
Women given three-year ban for illegally trading in securities
- By: James Langton
- April 1, 2015 December 19, 2017
- 15:00
Regulation: The new normal
Interconnected global markets and the aftermath of the financial crisis make the current regulatory environment necessary, OSC chief says
- By: Tessie Sanci
- April 1, 2015 December 19, 2017
- 07:10
Misuse of confidential information: OSC
Engineer agrees to 10-year ban
- By: James Langton
- April 1, 2015 December 19, 2017
- 07:00
Unrealistic expectations leave investors vulnerable to fraud
BCSC study finds less than half of those surveyed have a reasonable expectation of annual returns on investments
- By: James Langton
- March 31, 2015 December 19, 2017
- 14:20
CSA proposes changes to take-over bid regime
A proposed 120-day requirement is intended to ensure that boards have enough time to respond to unsolicited take-over bids
- By: James Langton
- March 31, 2015 December 19, 2017
- 12:00
CSA appoints new chairman
The AMF’s Louis Morisset succeeds Bill Rice
- By: James Langton
- March 31, 2015 December 19, 2017
- 10:40
Pre-budget meeting set for April 9
Finance Minister Joe Oliver to meet with private sector economists
- By: Andy Blatchford
- March 30, 2015 December 19, 2017
- 17:30
IIROC proposes stiffer measures on marketplace thresholds
Revised guidance aims to help reduce short-term, unexplained price volatility
- By: James Langton
- March 30, 2015 December 19, 2017
- 14:45
SEC files fraud charges against private equity manager
U.S. regulators allege prominent executive and her investment firms hid poor performance
- By: James Langton
- March 30, 2015 December 19, 2017
- 13:30
Client complaints drop in 2014: IIROC
Third annual enforcement report outlines key enforcement activities
- By: James Langton
- March 30, 2015 December 19, 2017
- 11:30
Boiler room victims targeted in follow-up scam: MSC
Florida company offering to buy Maitland Capital or First Global Ventures S.A. shares
- By: James Langton
- March 27, 2015 December 19, 2017
- 09:00