Three firms fined $1M each by U.S. regulators
Barclays, Goldman Sachs and Merrill Lynch fined for providing incomplete trading data
- By: James Langton
- June 4, 2014 December 19, 2017
- 11:30
Latest news in From the Regulators
OSC reciprocates BCSC illegal distribution penalties
Pair raised $3.6 million by trading and distributing unregistered securities
- By: James Langton
- June 3, 2014 December 19, 2017
- 15:55
SEC rewards two whistleblowers
Eight whistleblowers have received awards since the program’s launch
- By: James Langton
- June 3, 2014 December 19, 2017
- 15:40
SEC charges Bitcoin entrepreneur for unregistered share offering
Erik Voorhees has agreed to fully disgorging his profits and pay a US$35,000 penalty
- By: James Langton
- June 3, 2014 December 19, 2017
- 11:00
IIROC announces CDOR code of conduct
Voluntary code was developed by banks, IIROC and the Bank of Canada
- By: James Langton
- June 2, 2014 December 19, 2017
- 15:50
Capital markets evolving with proposed prospectus exemptions: Wetston
Regulatory reforms, technological tools and market initiatives are changing the landscape of capital markets
- By: James Langton
- June 2, 2014 December 19, 2017
- 13:00
FINRA makes dark pool data public
The goal is to increase market transparency and thereby enhance investor confidence
- By: James Langton
- June 2, 2014 December 19, 2017
- 12:35
OSFI unveils draft guideline for bank liquidity reporting
The big six banks will have to report their liquidity coverage ratios on a quarterly basis starting next year
- By: James Langton
- June 2, 2014 December 19, 2017
- 12:00
OSFI issues final guideline on Basel III liquidity requirements
Canadian banks are “well positioned” to meet the new minimum LCR requirement in advance of January 2015, regulator says
- By: James Langton
- May 30, 2014 December 19, 2017
- 15:50
CFTC gives Canadian swap dealers temporary reprieve
Banks won’t have to file quarterly risk exposure reports
- By: James Langton
- May 30, 2014 December 19, 2017
- 15:45
SEC issues newsletter fraud warning
Advisory highlights warning signs of investment fraud
- By: James Langton
- May 30, 2014 December 19, 2017
- 15:25
OSFI issues draft guideline on CDOR benchmark-setting submissions
Regulators looking at ways to ensure the integrity of the interest rate benchmark setting process
- By: James Langton
- May 30, 2014 December 19, 2017
- 09:50
FCNB proposes new reporting requirements for issuers
Proposed rule aims to help regulators track capital raising efforts
- By: James Langton
- May 30, 2014 December 19, 2017
- 09:30
Alberta man gets jail time for securities fraud
ASC imposes permanent trading and registration ban
- By: James Langton
- May 29, 2014 December 19, 2017
- 12:05
IIROC approved to implement CRM2
First batch of amendments take effect July 15
- By: James Langton
- May 29, 2014 December 19, 2017
- 10:50
IOSCO report aims to encourage investor education, financial literacy
New strategic framework will guide efforts by other regulators in developing investor education initiatives
- By: James Langton
- May 29, 2014 December 19, 2017
- 09:05
Suitability review finds room for improvement: FSCO
Many advisors are failing to appropriately document sales activities
- By: Megan Harman
- May 28, 2014 December 19, 2017
- 13:10
IOSCO seeks input on strategic plan
The group of global securities regulators is surveying stakeholders for their views
- By: IE Staff
- May 28, 2014 December 19, 2017
- 12:30
Pro-Financial ordered to suspend distribution of index funds
OSC says there remains a discrepancy in the records of certain principal-protected notes
- By: James Langton
- May 28, 2014 December 19, 2017
- 07:50
OSC issues investor alert on GSA Settlements
York Rio investors contacted about purported settlement fund account
- By: James Langton
- May 27, 2014 December 19, 2017
- 12:35
IIROC announces third project team to study impact of HFT
Experts to study HFT impact on market quality and integrity
- By: James Langton
- May 27, 2014 December 19, 2017
- 11:30
Whistleblower programs attract false claims: SEC
Claimant has filed almost 200 applications seeking rewards
- By: James Langton
- May 26, 2014 December 19, 2017
- 15:00
CTI Securities fined $25,000
Advisor engaged in “free-riding”
- By: IE Staff
- May 26, 2014 December 19, 2017
- 14:20
BCSC launches redesigned website
Better navigation and improve access for market participants and investors
- By: IE Staff
- May 26, 2014 December 19, 2017
- 07:40
FCNB orders Texas Energy Mutual to cease trading
Unregistered firm settles with New Brunswick regulator
- By: James Langton
- May 23, 2014 December 19, 2017
- 13:15