Investor protection remains top priority despite expanded mandate, OSC insists
Regulator addresses criticism of its agenda in revised priorities
- By: James Langton
- April 18, 2023 April 18, 2023
- 15:13
Latest news in From the Regulators
Evolving rate environment drives OSFI’s risk outlook
Housing market, bank liquidity and the commercial real estate sector top the regulator's list of concerns
- By: James Langton
- April 18, 2023 April 18, 2023
- 14:57
OSFI launches stablecoin consultation
Regulator seeks feedback on FSB recommendations for addressing crypto risks
- By: James Langton
- April 17, 2023 April 17, 2023
- 16:23
Investor at fault over share sale flub, court finds
DIY investor sold 10 times more shares than he owned after a share consolidation
- By: James Langton
- April 17, 2023 April 18, 2023
- 15:33
CSA ponders mandating wider diversity disclosure
Regulators consult on two options for enhancing diversity reporting
- By: James Langton
- April 13, 2023 April 13, 2023
- 13:10
Alberta invites halal finance to its sandbox
Government seeks to develop Islam-compliant mortgages in regulatory testing ground
- By: James Langton
- April 12, 2023 April 12, 2023
- 17:20
Europe’s regs seek expanded ESG disclosure
Proposals would require decarbonization targets to be disclosed, among other revisions
- By: James Langton
- April 12, 2023 April 12, 2023
- 15:25
Class action over Horizons leveraged ETF abandoned
Court approves dropping suit that couldn't secure litigation funding
- By: James Langton
- April 12, 2023 April 12, 2023
- 14:22
U.S. fund manager gets 15 years in fraud case
Mis-marking scheme defrauded investors, deceived auditors and regulators
- By: James Langton
- April 11, 2023 April 11, 2023
- 15:23
Regulators to hold greenwashing hackathon
The event will seek solutions to greenwashing risks for regulators and industry
- By: James Langton
- April 11, 2023 April 11, 2023
- 15:20
Court upholds OSC decision denying rep’s appeal
An Ontario court rejected an appeal over IIROC sanctions
- By: James Langton
- April 11, 2023 April 18, 2023
- 14:01
Robinhood sanctioned for 2020 outages
Firm fined for operational failures, service and supervisory issues
- By: James Langton
- April 6, 2023 April 6, 2023
- 15:38
FSRA proposes new conditions on life MGA
Supervision framework “largely based on delegation to upline agents,” regulator alleged
- By: Greg Meckbach
- April 6, 2023 January 23, 2024
- 15:30
Bridging investors granted time for legal action
Court pauses limitation period on possible claims against advisors, dealers
- By: James Langton
- April 6, 2023 April 6, 2023
- 14:29
FCA wades into finfluencer fray
U.K. regulators are increasingly concerned about investors being harmed by social media scams
- By: James Langton
- April 6, 2023 April 6, 2023
- 14:12
FDIC taps BlackRock to sell failed bank portfolios
SVB, Signature Bank's holdings of mortgage-backed securities, CMOs to be sold off
- By: James Langton
- April 5, 2023 April 5, 2023
- 17:18
Liberal tax promise tracker, post-budget edition
Here’s the status of tax proposals that matter to your clients
- By: Melissa Shin
- April 5, 2023 April 5, 2023
- 16:48
Private funds pique regulators’ interest
Sector's rapid growth raises concerns with global regulators
- By: James Langton
- April 5, 2023 April 5, 2023
- 15:06
BCSC has $70K to return to fraud victims
Investors lost millions to scheme, regulator found in 2018
- By: James Langton
- April 5, 2023 April 5, 2023
- 13:28
Merrill Lynch settles SEC fee disclosure charges
Firm failed to inform clients about added forex charges, regulator alleged
- By: James Langton
- April 4, 2023 April 4, 2023
- 15:44
Startup CEO duped JP Morgan, authorities allege
Founder accused of falsifying user data before US$175 million buyout
- By: James Langton
- April 4, 2023 April 4, 2023
- 14:33
SRO asks dealers to upvote its new name and look
New branding would replace existing logos by the end of 2024
- By: James Langton
- April 3, 2023 April 3, 2023
- 15:06
Don’t sit on whistleblower tips, SEC ruling shows
Tipster fails to sway regulator on divvying up reward
- By: James Langton
- March 31, 2023 March 31, 2023
- 15:51
Discount brokers’ trailers harm all investors, lawsuit alleges
Proposed class action claims that improper fees hurt investors' returns
- By: James Langton
- March 31, 2023 March 31, 2023
- 14:32
U.S. sanctions Wells Fargo for oversight failures
Federal Reserve, Treasury fine bank for lapses that enabled U.S. sanctions breaches
- By: James Langton
- March 30, 2023 March 30, 2023
- 16:58