SEC failed to guard sensitive information: probe
OIG unable to determine the source of a leak of confidential information from a closed-door commission meeting
- August 11, 2014 December 19, 2017
- 14:00
Latest news in From the Regulators
U.S. firm violated capital rules, alleges SEC
Regulator also charged the brokerage’s founder with falsifying information
- By: James Langton
- August 8, 2014 December 19, 2017
- 15:10
Advisor incorporation moving forward
Establishing a personal corporation would allow advisors to receive preferential tax rates
- By: James Langton
- August 8, 2014 December 19, 2017
- 11:35
Ex-brokerage CEO allegedly hid fees from clients
SEC has charged former executive of deceiving clients with hidden trailer fees
- By: James Langton
- August 7, 2014 December 19, 2017
- 15:15
FCA clarifies social media rules for promotions
Regulator notes firms are often unsure how to promote products and services on platforms such as Twitter
- By: James Langton
- August 6, 2014 December 19, 2017
- 09:00
SEC charges stock promoters with market manipulation
Regulator alleges four promoters conducted wash trades in several microcap companies
- By: James Langton
- August 5, 2014 December 19, 2017
- 15:50
OSC follows BCSC sanctions
Regulator issues orders banning securities law violators
- By: James Langton
- August 5, 2014 December 19, 2017
- 15:45
Information on OTC clearing rules now public
Previously, the OTC derivatives market central clearing rules repository was only available to IOSCO members
- By: James Langton
- August 5, 2014 December 19, 2017
- 13:30
Singapore to sell basic insurance products directly
Reforms will require insurers to sell products to retail clients without commissions
- By: James Langton
- August 5, 2014 December 19, 2017
- 11:00
FCA to restrict sale of CoCos
Regulator rules new securities are too risky for retail clients
- By: James Langton
- August 5, 2014 December 19, 2017
- 08:00
Fairfax’s Watsa faces insider-trading probe from Quebec regulator
Investigation also involves Fairfax president, Paul Rivett
- By: The Canadian Press
- August 1, 2014 December 19, 2017
- 10:45
Do your homework on CoCos: ESMA
Banks are developing new securities to bolster capital and reduce risk of bailouts
- By: James Langton
- August 1, 2014 December 19, 2017
- 10:10
OSC warns fund managers against default fees
Regulator says default rates may eliminate fee negotiations between advisors and investors
- By: James Langton
- August 1, 2014 December 19, 2017
- 09:35
Whistleblower receives $400,000 from SEC
Individual had tried to address matter internally before turning to the SEC, says regulator
- By: James Langton
- July 31, 2014 December 19, 2017
- 15:20
BCSC bans former corporate director
Hearing panel also levies fine against director for improper exemption distributions
- By: James Langton
- July 31, 2014 December 19, 2017
- 14:35
Three companies seek trade repository recognition
Companies seek recognition for the OTC derivatives markets ahead of reforms
- By: James Langton
- July 31, 2014 December 19, 2017
- 11:20
UK firms fail to follow “best execution” rules
Regulator’s review found many firms do not ensure clients get best execution on trades
- By: James Langton
- July 31, 2014 December 19, 2017
- 09:00
OSFI publishes draft guidelines for leverage ratio
New rules will incorporate Basel Committee’s leverage ratio requirements
- By: James Langton
- July 30, 2014 December 19, 2017
- 13:30
ICBC suspends life agent
Former rep currently facing allegations of securities fraud from the BCSC
- By: James Langton
- July 30, 2014 December 19, 2017
- 09:25
NSSC extends cease trade order against ex-fund rep
Regulator to continue investigation of former mutual fund rep suspected of unregistered trading
- By: James Langton
- July 30, 2014 December 19, 2017
- 09:00
Little reward from whistleblowing incentives: FCA
Compensating whistleblowers does not improve the quality of tips coming in, according to British regulators
- By: James Langton
- July 30, 2014 December 19, 2017
- 08:00
Avoiding trouble: Privacy, advisor dismissal and more
Recent decisions from courts and tribunals dealing with business conduct and practice for financial advisors (excluding fraud)
- By: IE Staff
- July 29, 2014 December 19, 2017
- 15:00
JPMorgan to pay US$650,000 to settle CFTC charges
CFTC alleges securities firm filed inaccurate trading reports
- By: James Langton
- July 29, 2014 December 19, 2017
- 13:15
FINTRAC sanctions two money services firms
Penalties imposed on Bendix, Altaif for violations of anti-money laundering rules
- By: James Langton
- July 29, 2014 December 19, 2017
- 07:30
NASAA supports FINRA efforts to improve expungement process
Seidt stresses the importance of maintaining the integrity of CRD data
- By: James Langton
- July 28, 2014 December 19, 2017
- 15:50