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
Latest news in From the Regulators
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
Affiliate members strengthen consultative role within IOSCO
IOSCO Affiliate Members Consultative Committee approves three new work streams
- By: James Langton
- December 16, 2013 December 19, 2017
- 12:00
Basel Committee revises rules for banks’ investments in funds
The new rules are scheduled to take effect in January 2017
- By: James Langton
- December 16, 2013 December 19, 2017
- 11:40
Dundee fined $110,000 for failing to supervise accounts
Regina rep had elderly clients with low risk tolerance invested in equities and holding a margin account
- December 16, 2013 December 19, 2017
- 11:30
AMF fees to rise
Fees to climb by as much as 1.1%
- By: James Langton
- December 13, 2013 December 19, 2017
- 16:35
CSA seeks input on risk methodology for funds
Inconsistent measurements of risk in Fund Facts documents would make comparisons between mutual funds more difficult
- By: James Langton
- December 12, 2013 December 19, 2017
- 13:40
Fast-evolving electronic trading a risk to industry
OSC updates its review of the risks associated with electronic trading
- By: James Langton
- December 12, 2013 December 19, 2017
- 12:00
Restrictions on personal financial dealings to be reviewed in new year
IIROC to respond to concerns regarding the scope of dealings that are prohibited by the current rules
- By: James Langton
- December 11, 2013 December 19, 2017
- 13:15
Supplemental accounting measures a concern, says OSC
Review finds widespread weaknesses in disclosure that may lead to investor confusion
- By: James Langton
- December 11, 2013 December 19, 2017
- 13:00
IIROC proposes more circuit breakers
List of single-stock circuit breakers would include all securities that are considered “actively traded”
- By: James Langton
- December 11, 2013 December 19, 2017
- 12:50
OSC expands Registrant Outreach program
Four new seminars added to assist registrants with strengthening their compliance practices
- By: James Langton
- December 11, 2013 December 19, 2017
- 11:00
Toronto man charged with unregistered trading
The OSC says the charge relates to David Borg’s alleged role in selling shares of Enriching Pictures
- By: James Langton
- December 11, 2013 December 19, 2017
- 10:00