FINRA hires analytics head
New unit to focus on improving how the U.S. watchdog analyzes and uses data
- By: James Langton
- February 11, 2015 December 19, 2017
- 14:00
Latest news in From the Regulators
Former Winnipeg advisor fined $100,000
High risk, speculative securities recommended to pensioners
- By: IE Staff
- February 11, 2015 December 19, 2017
- 11:20
SEC charges former brokerage CEO in ‘fraudulent scheme’
Craig Lax agrees to pay more than US$783,000 and to be barred from the securities industry for at least five years
- By: James Langton
- February 11, 2015 December 19, 2017
- 08:00
OSC approves Ontario Wealth Mgmt. settlement
2013 compliance review uncovered “significant deficiencies
- By: James Langton
- February 9, 2015 December 19, 2017
- 16:15
Couple sanctioned for breaching OSC cease trade order
Man sentenced to jail, woman fined
- February 9, 2015 December 19, 2017
- 16:00
IIROC updates Client Relationship Model FAQ
Pre-trade disclosure of charges does not apply seg fund trades
- By: James Langton
- February 9, 2015 December 19, 2017
- 15:00
SEC proposes rules for hedging disclosure
The aim is to provide investors with additional information about companies’ governance practices
- By: James Langton
- February 9, 2015 December 19, 2017
- 14:00
Insurers too complacent about cybersecurity: report
New York to introduce regular assessment of preparedness at insurance companies
- By: James Langton
- February 9, 2015 December 19, 2017
- 10:20
SEC, Big Four accounting firms settle China dispute
Firms agree to pay US$500,000 each
- February 6, 2015 December 19, 2017
- 17:10
Ex Red Deer advisor admits KYC, suitability failings
Former Alberta rep fined $75,000 by IIROC
- By: IE Staff
- February 6, 2015 December 19, 2017
- 14:00
Joint Forum releases report on credit risk management
Report sets out several recommendations for regulators
- By: James Langton
- February 5, 2015 December 19, 2017
- 14:50
IIROC beefs up institutional education
73% of CSC course content is now relevant to both retail and institutional business
- By: IE Staff
- February 5, 2015 December 19, 2017
- 13:45
OSC streamlines fee model
Participation fees will now track more closely with current business conditions
- By: James Langton
- February 5, 2015 December 19, 2017
- 11:00
MSC issues warning about Ecovexco
Ads promise “unrealistically high returns”, Manitoba regulator says
- By: James Langton
- February 5, 2015 December 19, 2017
- 09:50
U.S. Bank to pay US$18M to customers of collapsed brokerage
The bank held an account that Peregrine founder used to defraud more than 24,000 brokerage clients
- By: James Langton
- February 4, 2015 December 19, 2017
- 16:00
Maine tackles financial abuse of seniors
Training program for banking staff could be coming to Canada
- By: James Langton
- February 4, 2015 December 19, 2017
- 15:45
More time for Bitcoin derivatives feedback
CFTC extends comment period for LedgerX application
- By: James Langton
- February 4, 2015 December 19, 2017
- 15:20
OSC announces commissioner appointments
Two former bank execs, lawyer join three returning commissioners
- By: James Langton
- February 3, 2015 December 19, 2017
- 15:15
U.S. regulators review brokerage cybersecurity
Most incidents involve fraudulent emails or malware
- By: James Langton
- February 3, 2015 December 19, 2017
- 15:00
UK regulator steps up crowdfunding supervision
The market has seen rapid growth since new investor protection rules took effect in 2014
- By: James Langton
- February 3, 2015 December 19, 2017
- 14:30
OSC: Whistleblowing an important enforcement tool
Proposed OSC program could reward tipsters up to $1.5 million
- By: James Langton
- February 3, 2015 December 19, 2017
- 13:15
BCBS issues new guidance on accounting for expected credit losses
Proposed new guidance details supervisory expectations for banks
- By: James Langton
- February 2, 2015 December 19, 2017
- 09:50
OSFI updates derivatives guideline
Revision reflects reforms to OTC derivatives markets agreed to by the G20
- By: James Langton
- January 30, 2015 December 19, 2017
- 14:10
Former fund salesperson fined $200,000
MFDA bans former advisor for personal financial dealings, outside business activities
- By: Fiona Collie
- January 30, 2015 December 19, 2017
- 11:30