Latest news in From the Regulators

Court approves $78M distribution from Bridging fund to institutional investors

MFDA bans, fines former advisor $300K for funds misappropriation article image Extreme closeup of an annual report -- based on the "portfolio facts," the fund is a 100% stock mutual fund

MFDA bans, fines former advisor $300K for funds misappropriation

  • By: IE Staff
  • July 21, 2022 July 21, 2022
  • 15:49
OSC uses inter-jurisdictional order to ban U.S. fraudster article image Metal handcuffs placed over the word fraud

OSC uses inter-jurisdictional order to ban U.S. fraudster

OSC permanently bans convicted fraudster

  • By: IE Staff
  • July 20, 2022 July 20, 2022
  • 12:59
Luxury tax coming Sept. 1, but draft regulations still pending article image Parliament Hill in Ottawa - Ontario, Canada

Luxury tax coming Sept. 1, but draft regulations still pending

  • By: IE Staff
  • July 19, 2022 July 19, 2022
  • 11:37
New chair, director for MFDA article image 11049130 – conference room interior alternate text for this image

New chair, director for MFDA

Investor, insider tipsters awarded US$6 million article image whistleblower

Investor, insider tipsters awarded US$6 million

Action on climate threat “more urgent than ever”: FSB article image climate change

Action on climate threat “more urgent than ever”: FSB

CSA names new investor panel article image announcement

CSA names new investor panel

Same risk, same regulation for stablecoins article image Bitcoin cryptocurrency with a pile of coins and smartphone, Vector illustrator

Same risk, same regulation for stablecoins

SEC curbs recent proxy voting reforms article image Modern Keyboard Button with Vote Icon - Online Voting and Election Concept

SEC curbs recent proxy voting reforms

Financial stability risks rising, FSB warns article image Stock trader in stress stock illustration

Financial stability risks rising, FSB warns

Enforcement action up at MFDA in 2021 article image Extreme closeup of an annual report -- based on the "portfolio facts," the fund is a 100% stock mutual fund

Enforcement action up at MFDA in 2021

Online exam cheats nabbed by FINRA article image a teacher standing over a student who is hiding test answers in his hidden palm.

Online exam cheats nabbed by FINRA

Ontario amends estate forms, again, to clarify instructions

IIROC solicits advisory committee nominations

Risky, complex ETFs raise hackles at SEC

FSRA crafts committee on planner, advisor issues article image client meeting

FSRA crafts committee on planner, advisor issues

FINRA seeks oversight of OTC options trading article image Magnifying glass icon in flat style. Search loupe on color background. Business analytic charts illustration. Vector design object for you project

FINRA seeks oversight of OTC options trading

Fed’s Bullard: Solid U.S. economy can handle rising rates

Girding for the next financial calamity article image Mature businesswoman looking out of window with face mask

Girding for the next financial calamity

Wakeup call for crypto — you need regulation too article image cryptocurrencies

Wakeup call for crypto — you need regulation too

Money back for Bridging investors? Not so fast article image Judge's gavel with magnifying glass on black.

Money back for Bridging investors? Not so fast

Fitch commends money market reform proposals article image Little girl and dad saving money in piggy bank stock photo

Fitch commends money market reform proposals