British regulator launches crowdfuding consultation
FCA proposing to revise trules to ensure investors must be informed of risks, and be able to withstand possible losses
- By: James Langton
- October 24, 2013 December 19, 2017
- 08:50
Latest news in From the Regulators
SEC sanctions three firms for ignoring compliance problems
The firms had been previously warned about compliance deficiencies but failed to effectively act upon those warnings
- By: James Langton
- October 24, 2013 December 19, 2017
- 07:33
U.S. regulators propose standards for assessing diversity policies
Six agencies propose standards for assessing diversity policies and practices of the in financial firms they regulate
- By: James Langton
- October 23, 2013 December 19, 2017
- 15:30
SEC proposes crowdfunding rules
Startup companies would be able to sell stock over the Internet to small-time investors
- By: James Langton
- October 23, 2013 December 19, 2017
- 13:40
Retired fund salesman fined $400,000
Former FundEX salesman recommended exempt market products to clients without the knowledge or approval of his firm
- By: Fiona Collie
- October 23, 2013 December 19, 2017
- 09:00
The downside to simpler bank capital rules?
Higher costs to financial institutions and more face time with their supervisors
- By: James Langton
- October 22, 2013 December 19, 2017
- 13:55
Quebec investors among victims of forex scheme
Trading by Australian company led to losses of over 60% of the value of investors’ portfolios
- By: James Langton
- October 21, 2013 December 19, 2017
- 10:00
IOSCO finds shortcomings with hedge fund survey
Limitations in data collection prevent definitive conclusions regarding systemic risk
- By: James Langton
- October 21, 2013 December 19, 2017
- 08:40
U.S. advisory firm allegedly misled investors
SEC brought charges today against Harding Advisory LLC and owner, Wing Chau
- By: James Langton
- October 18, 2013 December 19, 2017
- 15:05
OSC delays Conrad Black proceeding
Hearing involving Black and John Boultbee to take place Oct. 23
- By: The Canadian Press
- October 18, 2013 December 19, 2017
- 12:30
Former advisor must pay costs: appeal court
Court rules IIROC right to seek costs award from former advisor
- By: James Langton
- October 18, 2013 December 19, 2017
- 12:15
AMF suspends MonArc Money Solutions
Mutual fund dealer failed to improve supervisory arrangements
- By: James Langton
- October 18, 2013 December 19, 2017
- 12:05
Easing regulation won’t lift junior miners: report
Review of B.C. mining sector blames market conditions for struggling firms
- By: James Langton
- October 17, 2013 December 19, 2017
- 13:20
CSA proposes tougher audit firm disclosure
Firms would be required to report when the Canadian Public Accountability Board (CPAB) has imposed significant remedial actions on them
- By: James Langton
- October 17, 2013 December 19, 2017
- 12:35
CSA proposes changes to oil and gas disclosure requirements
Amendments designed to promote better disclosure of resources other than reserves
- By: James Langton
- October 17, 2013 December 19, 2017
- 10:50
New York AG names investor protection chief
Chad Johnson to lead Investor Protection Bureau
- By: James Langton
- October 16, 2013 December 19, 2017
- 15:35
JPMorgan Chase to pay US$100 million in trading case
CFTC settles with firm over “London Whale” trades
- By: James Langton
- October 16, 2013 December 19, 2017
- 14:00
Knight Capital fined $12 million by SEC for trading violations
Software glitch disrupted markets in August 2012
- By: James Langton
- October 16, 2013 December 19, 2017
- 13:10
Report suggests evolving capital markets in New Brunswick
2012 activity greatly influenced by large-scale energy deal
- By: James Langton
- October 16, 2013 December 19, 2017
- 10:25
FINRA calls for brokers to better manage conflicts of interest
New report details best practices to help firms strengthen their own frameworks for dealing with conflicts
- By: James Langton
- October 16, 2013 December 19, 2017
- 09:00
Low rates named top threat to securities markets
IOSCO launches its first securities markets risk outlook
- By: James Langton
- October 16, 2013 December 19, 2017
- 08:40
OSFI proposes changes to fee model
Reforms would take greater account of the risk that an institution poses to the financial system
- By: James Langton
- October 15, 2013 December 19, 2017
- 16:10
IIROC to improve oversight of electronic trading
The proposed amendments are designed to ensure that all electronic trading, regardless of channel, has the same level of supervision
- By: James Langton
- October 15, 2013 December 19, 2017
- 15:40
NASAA releases top threats list
Virtual currencies have provided fertile ground for scam artists
- By: James Langton
- October 15, 2013 December 19, 2017
- 14:30
Consistent wins needed for OSC to achieve deterrence goals, experts say
The success of any enforcement program is measured by perception
- By: Romina Maurino
- October 15, 2013 December 19, 2017
- 13:45