FCA strengthens rules to protect client assets
The changes affect 1,500 firms that carry out investment business
- By: James Langton
- June 10, 2014 December 19, 2017
- 08:00
Latest news in From the Regulators
CIFPs 2014: The evolution of the investment industry and professional standards
Susan Wolburgh Jenah, president & CEO, Investment Industry Regulatory Organization of Canada (IIROC), discusses the evolution of the investment regulatory landscape, including how to broach…
- By: Susan Wolburgh Jenah
- June 9, 2014 October 21, 2019
- 17:00
SEC issues investor alert on lost or stolen securities
There have been episodes of cancelled certificates being stolen, and later turning up in securities fraud
- By: James Langton
- June 9, 2014 December 19, 2017
- 13:30
IIROC, OBSI discuss compensation refusals
Talks are meant to ensure OBSI remains a dispute resolution resource investors can trust
- By: Fiona Collie
- June 9, 2014 October 21, 2019
- 12:30
OSC drops conditions imposed on RESP dealer
Heritage Education Funds improve compliance systems
- By: James Langton
- June 6, 2014 December 19, 2017
- 16:00
BCSC issues lifetime ban against BigFoot developer
Robert McHaffie fined $2 million for fraud
- By: James Langton
- June 6, 2014 December 19, 2017
- 13:00
Liquidnet paying US$2M to settle SEC charges
Dark pool operator accused of using of customer trading data to market its services
- By: James Langton
- June 6, 2014 December 19, 2017
- 12:30
SEC mulls market structure reforms
Staff are developing recommendations for an anti-disruptive trading rule
- By: James Langton
- June 5, 2014 December 19, 2017
- 15:40
OSC imposes sanctions in MRS Sciences case
10-year trading bans and director and officer bans imposed
- By: James Langton
- June 5, 2014 December 19, 2017
- 15:35
OSC looks to reciprocate PEI sanctions
Hearing into allegations against Capital Markets Technologies scheduled for later this month
- By: James Langton
- June 5, 2014 December 19, 2017
- 15:00
Canadian extradited from U.S. to Alberta to face fraud charges
The ASC has charged Douglas Schneider and Kenneth Fowler with fraud in relation to the sale of TIE Mortgage securities
- By: James Langton
- June 5, 2014 December 19, 2017
- 07:00
U.S. agencies seek comments on regulatory review
Regulators are looking for ways to cut the regulatory burden on banks
- By: IE Staff
- June 4, 2014 December 19, 2017
- 15:50
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
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