FINRA fines Morgan Stanley US$2 million over short-sale violations
The firm failed to accurately report its short interest positions in certain securities
- By: James Langton
- May 13, 2015 December 19, 2017
- 13:20
Latest news in From the Regulators
BIS, ECB and IMF publish handbook on securities statistics
The aim is to foster the harmonization of international securities statistics presentation
- By: James Langton
- May 12, 2015 December 19, 2017
- 11:00
Independent Trading Group fined $170,000
IIROC sanctions professional trading firm for inadequate controls
- By: IE Staff
- May 11, 2015 December 19, 2017
- 15:25
AMF signs insurance regulators information sharing agreement
IAIS welcome Malaysia and Quebec as signatories
- By: James Langton
- May 11, 2015 December 19, 2017
- 13:15
BIS sets sights on global foreign exchange code of conduct
Governors agree to set up a working group
- By: James Langton
- May 11, 2015 December 19, 2017
- 10:30
BCSC panel fines former broker $30,000
Recommendation for more severe sanctions rejected
- By: James Langton
- May 8, 2015 December 19, 2017
- 14:00
Nova Scotia mulls harmonization on OM exemption
The goal is to reduce the compliance burden for issuers while maintaining investor protection
- By: James Langton
- May 8, 2015 December 19, 2017
- 06:45
Benefits of dark trading rules outweigh costs: IIROC
Roundtable to discuss alternatives to address the impact of routing of retail orders to U.S. broker-dealers
- By: James Langton
- May 7, 2015 December 19, 2017
- 13:15
OSC approves settlement with former IR exec
Wife traded on inside information from husband
- By: James Langton
- May 7, 2015 December 19, 2017
- 12:00
SEC approves tick size pilot
U.S. regulator will measure impact for smaller companies
- By: James Langton
- May 7, 2015 December 19, 2017
- 10:30
Great sounding offer too good to be true: BCSC
Investors warned of man offering economically impossible returns
- By: The Canadian Press
- May 6, 2015 December 19, 2017
- 15:00
OSC asset freeze can continue
Court dismisses motion to revoke freeze in Future Solar enforcement case
- By: James Langton
- May 6, 2015 December 19, 2017
- 12:40
Majority of fraud victims are ‘overconfident educated middle-aged males’
IOSCO publishes results of its survey on anti-fraud messaging
- By: James Langton
- May 6, 2015 December 19, 2017
- 10:30
Australian regulator to issue guidance on financial advice remediation
The aim is to have firms set up remediation programs that are consistent and transparent
- By: James Langton
- May 6, 2015 December 19, 2017
- 09:55
U.S. regulators initiate compliance outreach program
The goal is to help firms prepare for new compliance requirements
- By: James Langton
- May 5, 2015 December 19, 2017
- 19:10
Europe sees increased risk to financial system
Concerns include volatile asset prices, poor industry conduct, and cyber-attacks: Joint Committee of ESAs
- By: James Langton
- May 5, 2015 December 19, 2017
- 09:10
Australian dollar spikes ‘normal market’: ASIC
Unusual movements ahead of central bank announcements reflect lack of liquidity
- By: James Langton
- May 4, 2015 December 19, 2017
- 11:20
Brokers gain access to registration records
IIROC outlines the process for making requests
- By: James Langton
- May 4, 2015 December 19, 2017
- 10:35
OSC to consider settlement with IR professional accused of insider trading
Hearing scheduled for May 4
- By: James Langton
- May 1, 2015 December 19, 2017
- 15:50
Vulnerable clients a priority for MFDA enforcement
Cases involving seniors are almost twice as likely to move from initial assessment to disciplinary action
- By: James Langton
- May 1, 2015 December 19, 2017
- 10:30
N.B. delegates dealer registration to IIROC
Review of all applications will be performed by IIROC staff in Toronto
- By: James Langton
- May 1, 2015 December 19, 2017
- 09:20
SSG report warns of risks connected to algorithmic trading
Group of regulators says primary concern is whether risks associated with algo trading have outpaced controls on it
- By: James Langton
- April 30, 2015 December 19, 2017
- 13:10
CSA provides guidance to proxy advisory firms
Policy tackles issues of conflict of interest and transparency of vote recommendations
- By: James Langton
- April 30, 2015 December 19, 2017
- 10:50