RESP privacy breach class action runs aground
A court dismissed the proposed suit involving hospital workers selling new mothers' contact information to RESP dealer reps
- By: James Langton
- January 24, 2023 January 24, 2023
- 15:42
Latest news in From the Regulators
FSRA releases draft operational risk guidance for credit unions
The proposed guidance is out for comment until March 31
- By: Greg Meckbach
- January 24, 2023 January 24, 2023
- 15:22
New SRO plans October business continuity test
The biennial exercise will be coordinated with the U.S. industry
- By: James Langton
- January 23, 2023 January 23, 2023
- 16:09
FSRA proposes cyber guidance for title credentialing bodies
Groups issuing financial planner and advisor titles must meet cybersecurity guidelines
- By: James Langton
- January 23, 2023 January 23, 2023
- 15:37
Bloomberg sanctioned over bond pricing disclosures
Securities prices sometimes relied on single sources, the SEC alleged
- By: James Langton
- January 23, 2023 January 23, 2023
- 14:38
Advisor hit hardest in Amaya Gaming insider trading case
An Ontario tribunal handed down $5.1 million in penalties and other costs
- By: James Langton
- January 23, 2023 January 23, 2023
- 14:33
Crypto lending product ruled a security: SEC, NASAA
U.S. regulators settle with firm over unregistered product
- By: James Langton
- January 20, 2023 January 20, 2023
- 14:46
Firms have immunity to aid SRO investigations, court rules
B.C. court strikes certain claims in rep's wrongful dismissal suit
- By: James Langton
- January 20, 2023 January 20, 2023
- 14:37
Total cost reporting guidance for seg funds coming this spring: FSRA
FSRA also reiterated that it wants clients to be protected from seg fund deferred sales charges, regardless of when the funds were purchased
- By: Greg Meckbach
- January 20, 2023 January 20, 2023
- 12:27
New circuit breakers for CDRs
Growth in Canadian depositary receipts prompts SRO to expand guidance on trading halts
- By: James Langton
- January 19, 2023 January 19, 2023
- 16:50
Crypto exchange moved US$700 million for darknet: DoJ
U.S., European authorities take down Bitzlato platform
- By: James Langton
- January 18, 2023 January 18, 2023
- 16:47
Court sides with firm in dispute over advisor-managed funds
Rep sought to bring funds she managed for clients to new business
- By: James Langton
- January 18, 2023 January 18, 2023
- 15:24
Rate hikes have begun to quell U.S. inflation: Fed’s Mester
Mester's comments are notable because she is among the more consistently hawkish members
- By: Christopher Rugaber, The Associated Press
- January 18, 2023 January 18, 2023
- 14:52
New SRO launches investor advisory panel
Dorothy Sanford, former head of MFDA IPC, heads new investor group
- By: James Langton
- January 17, 2023 February 17, 2023
- 16:42
Morisset to leave AMF in July
Quebec's top regulator will leave the agency after 17 years, including 10 at the helm
- By: James Langton
- January 17, 2023 January 17, 2023
- 15:59
Retail investor costs are falling but still weighing on results: ESMA
Despite the downward trend, European regulators stressed that costs remain an important consideration
- By: James Langton
- January 17, 2023 January 17, 2023
- 14:58
European securities regulators target marketing practices
Review to scrutinize communications, social media, finfluencers and greenwashing
- By: James Langton
- January 16, 2023 January 16, 2023
- 14:09
U.S. court orders restitution for crypto Ponzi victims
Victims of global BitConnect scheme to recover US$17 million
- By: James Langton
- January 13, 2023 January 13, 2023
- 15:17
SEC steps up crypto crackdown
Crypto lending program amounted to an unregistered offering, regulator alleges
- By: James Langton
- January 13, 2023 January 13, 2023
- 15:10
BCSC settles insider trading allegations
Firm, director banned for three years, agree to pay $200,000
- By: James Langton
- January 13, 2023 January 13, 2023
- 14:48
SEC rewards one tipster, denies another
Earlier tip didn't prompt investigation or enforcement action, regulator rules
- By: James Langton
- January 13, 2023 January 13, 2023
- 14:26
Tribunal sanctions trio in “moderately serious” fraud
Misconduct occurred as part of a legitimate business, not a scam, panel found
- By: James Langton
- January 12, 2023 January 12, 2023
- 15:31
BoC to lose billions over next few years, posing communications challenge: report
Settlement balances helped finance pandemic quantitative easing
- By: Nojoud Al Mallees, Canadian Press
- January 12, 2023 January 12, 2023
- 13:29
OSFI escalates fight against mortgage lending risk
Consultation considers array of tools to address rising debt service risks
- By: James Langton
- January 12, 2023 January 19, 2023
- 12:51