FINRA fines Citigroup US$15M for analyst supervision lapses
Regulator says disciplinary measures weren’t severe enough to deter repeat violations
- By: James Langton
- November 24, 2014 December 19, 2017
- 11:35
Latest news in From the Regulators
FINTRAC working to ensure compliance
The anti-money laundering agency imposed monetary penalties in 16 cases in 2013-14
- By: James Langton
- November 21, 2014 December 19, 2017
- 17:15
SEC suspends trading in four Ebola-related companies
U.S. regulator warns investors about Ebola-related scams
- By: James Langton
- November 21, 2014 December 19, 2017
- 11:00
B.C. woman illegally advised on purchase of securities
Former registrant recommended investor purchase exempt market securities
- By: IE Staff
- November 20, 2014 December 19, 2017
- 16:25
SEC approves rules to strengthen market tech infrastructure
Rules aim to reduce the occurrence of technology issues and improve the U.S. securities industry’s resilience
- By: James Langton
- November 20, 2014 December 19, 2017
- 14:00
Investors warned about high-yield investment programs
NASAA says the programs are Ponzi schemes sold by unlicensed individuals
- By: James Langton
- November 20, 2014 December 19, 2017
- 13:30
Former rep fined $50,000
The misdeeds included inflating the net worth of some clients so they could qualify for a leveraged investment strategy
- By: Fiona Collie
- November 20, 2014 December 19, 2017
- 12:00
IIROC staff teach students the basics of financial success
Ongoing Junior Achievement partnership supports youth financial literacy
- By: IE Staff
- November 19, 2014 December 19, 2017
- 11:50
Alberta proposes framework for reps to incorporate
Proposed changes intended to modernize and streamline province’s securities legislation
- By: James Langton
- November 19, 2014 December 19, 2017
- 10:15
SEC charges three penny-stock promoters
Pump-and-dump schemes touted stocks in supposedly independent newsletters
- By: James Langton
- November 17, 2014 December 19, 2017
- 16:00
FINRA proposes measures to boost bond market transparency
Additional pricing information would better enable retail investors to evaluate the cost and quality of services firms provide
- By: James Langton
- November 17, 2014 December 19, 2017
- 14:45
Goldpoint investors may claim compensation
Ontario Attorney General says $580,000 has been recovered under civil forfeiture law
- By: James Langton
- November 17, 2014 December 19, 2017
- 13:40
EU regulators call for improved retail disclosure
New rules aim to help investors better understand and compare packaged retail and insurance-based investment products
- By: James Langton
- November 17, 2014 December 19, 2017
- 09:20
Australia eyes electronic disclosure
The current default to printed disclosure may be detrimental to consumers
- By: James Langton
- November 14, 2014 December 19, 2017
- 11:30
FCA warns small firms on crime risk
UK watchdog finds small firms fail to manage financial crime risk
- By: James Langton
- November 14, 2014 December 19, 2017
- 10:40
OSFI issues guidance on compliance risk
Firms are expected to implement the new guidance by May 1
- By: James Langton
- November 14, 2014 December 19, 2017
- 09:30
TD to repay $13.5 million to clients it overcharged
OSC approves no-contest settlement
- By: James Langton
- November 13, 2014 December 19, 2017
- 15:50
IIROC seeks comment on revised membership disclosure rule
Comments due Jan. 12
- By: James Langton
- November 13, 2014 December 19, 2017
- 15:45
IIROC strengthens oversight of discount brokers
Proposed changes step up supervisory requirements and aim to ensure consistent regulatory oversight
- By: James Langton
- November 13, 2014 December 19, 2017
- 14:30
SEC charges pair in Profits Paradise scheme
The alleged high-yield investment scheme used social media pitches on Facebook, YouTube, and Twitter
- By: James Langton
- November 12, 2014 December 19, 2017
- 14:40
Reports update Basel III progress, propose measure to reduce variability
All countries have now implemented risk-based capital regulations
- By: James Langton
- November 12, 2014 December 19, 2017
- 14:25
Five banks fined for forex rate rigging
U.S., UK regulators imposes fines totalling more than US$3 billion
- By: James Langton
- November 12, 2014 December 19, 2017
- 14:10
NASAA issues list of 2015 investor threats
Many of the top threats facing investors involve new products in classic schemes
- By: James Langton
- November 12, 2014 December 19, 2017
- 14:05
OSFI plans new capital rules study
The regulator invites insurers to participate in a sixth quantitative impact study
- By: James Langton
- November 11, 2014 December 19, 2017
- 14:20
Greater cooperation needed to thwart cyber attacks
CPMI issues report on cyber resilience in financial markets
- By: James Langton
- November 11, 2014 December 19, 2017
- 14:10