FINRA sets 2014 regulatory and exam priorities
Concerns about suitability top the list
- By: James Langton
- January 2, 2014 December 19, 2017
- 14:00
Latest news in From the Regulators
OSC issues reasons for sanctions in American Heritage case
The $750,000 administrative penalty levied against Sandy Winick is $500,000 less than the penalty sought by OSC staff
- By: James Langton
- January 2, 2014 December 19, 2017
- 09:30
MFDA to amend compliance exam process
Changes intended to further integrate risk-based methodology
- By: James Langton
- December 23, 2013 December 19, 2017
- 15:55
FINRA proposes account monitoring system
CARDS program will help protect investors from sales practice misconduct
- By: James Langton
- December 23, 2013 December 19, 2017
- 15:15
Ex rep accused of giving misleading advice
Exempt market securities misrepresented as a prudent investment
- By: James Langton
- December 23, 2013 December 19, 2017
- 14:45
OSC issues sanctions in American Heritage case
Advance fee scheme nets $100,000 penalty
- By: James Langton
- December 23, 2013 December 19, 2017
- 13:30
SEC report provides framework for disclosure reform
U.S. regulator looking to update rules that dictate what a company must disclose in its filings
- By: James Langton
- December 20, 2013 December 19, 2017
- 14:10
2015 issues draft MCT guideline for insurers
The total capital impact of the new rules will increase the minimum capital test ratio by four percentage points
- By: James Langton
- December 20, 2013 December 19, 2017
- 13:45
OSC sets aside IIROC sanctions against Northern Securities
Commission will hold its own sanctions hearing
- By: James Langton
- December 20, 2013 December 19, 2017
- 12:15
Ministers propose national systemic risk committee
Council committed to ongoing reform of securities regulation
- By: James Langton
- December 20, 2013 December 19, 2017
- 10:30
BCSC accuses hedge fund manager and blogger of fraud
Silvercorp Metals shares fell 20% after negative report appeared on financial blog
- By: The Canadian Press
- December 19, 2013 December 19, 2017
- 18:55
CSA proposes rule for mandatory central counterparty clearing
Requirements follow global efforts to improve transparency in OTC derivatives markets
- By: James Langton
- December 19, 2013 December 19, 2017
- 14:00
CSA expands OBSI mandate
Exempt market dealers and portfolio managers will now be required to use OBSI’s dispute resolution service
- By: James Langton
- December 19, 2013 December 19, 2017
- 13:50
EBA issues warning on virtual currencies
Consumers warned of risks when buying, holding, or trading, virtual currencies, such as Bitcoins
- By: James Langton
- December 19, 2013 December 19, 2017
- 11:20
UK court upholds market abuse fine against Swift Trade
Ruling confirms that illegal trading in contracts for difference constitutes market abuse, FCA says
- By: James Langton
- December 19, 2013 December 19, 2017
- 11:10
OSC rules unregistered firm engaged in fraud
Blackwood & Rose solicited U.S. residents to buy securities in several companies
- By: James Langton
- December 18, 2013 December 19, 2017
- 17:00
Real estate firm banned, fined for securities fraud
OSC dismisses $7.4 million disgorgement order against Medra Corp.
- By: James Langton
- December 18, 2013 December 19, 2017
- 16:40
Slow pace of regulatory reform unacceptable: IAP
Report says regulators need to take action on issues such as mutual fund fees
- By: James Langton
- December 18, 2013 December 19, 2017
- 12:40
OSC proposes adopting global standards for clearing agencies
CPSS-IOSCO principles are intended to enhance the safety and efficiency in clearing, settlement and recording arrangements
- By: James Langton
- December 18, 2013 December 19, 2017
- 10:50
Global banks challenged to boost risk management practices
Basel Committee progress report notes that many G-SIBs are facing difficulties implementing new principles
- By: James Langton
- December 18, 2013 December 19, 2017
- 10:40
SEC monetary sanctions rise in fiscal 2013
The SEC collected a record US$3.4 billion in penalties and other sanctions
- By: James Langton
- December 17, 2013 December 19, 2017
- 16:30
FINRA creates new investor committee
Investor Issues Committee to advise U.S. regulator on issues that significantly impact both retail and institutional investors
- By: James Langton
- December 17, 2013 December 19, 2017
- 15:30
CSA proposals for fund fees, best interest duty come together
Status reports conclude more work is necessary in both areas
- By: James Langton
- December 17, 2013 October 15, 2019
- 11:30
OSC imposes sanctions in New Gold case
Convicted fraudster ordered to pay $1 million penalty
- By: James Langton
- December 16, 2013 December 19, 2017
- 16:00
Compelled testimony admissible: OSC
The weight this evidence will receive in a hearing will be determined by an OSC panel
- By: James Langton
- December 16, 2013 December 19, 2017
- 15:00