SEC sanctions rating agency for conflicts
Egan-Jones, founder, fined in settlements with regulators
- By: James Langton
- June 21, 2022 June 21, 2022
- 15:38
Latest news in From the Regulators
CSA, CCIR double down on total cost reporting pledge
Consultation on improving, harmonizing fund disclosure remains open until July 27
- By: James Langton
- June 20, 2022 June 20, 2022
- 13:52
Senate confirms new SEC commissioners
Jaime Lizárraga and Mark Toshiro Uyeda to replace Lee and Roisman as Securities and Exchange commissioners
- By: James Langton
- June 17, 2022 June 17, 2022
- 15:37
FINTRAC, RCMP faltering in money laundering fight
B.C. inquiry brands federal anti–money laundering regime a failure
- By: James Langton
- June 16, 2022 June 16, 2022
- 16:09
Brokers violated “best interest” rules, SEC alleges
Firm, reps charged for selling risky illiquid bonds to retail investors, retirees
- By: James Langton
- June 16, 2022 June 16, 2022
- 15:31
Crypto manipulation: A feature or a bug?
Blockchains inherently enable front running and other activity that's offside in traditional financial markets
- By: James Langton
- June 16, 2022 June 16, 2022
- 15:07
Global bank regulators set out climate risk principles
Basel Committee principles call for banks, regulators to address climate risks
- By: James Langton
- June 15, 2022 June 15, 2022
- 17:30
OSC, MFDA team up in case against fund rep
Rep violated MFDA rules, OSC rules and firm's policies, panel finds
- By: James Langton
- June 14, 2022 June 14, 2022
- 17:32
ASC’s Magidson named new head of CSA
Under the AMF's Morisset, regulators adopted major investor protection reforms
- By: James Langton
- June 14, 2022 June 14, 2022
- 14:24
Insider traded ahead of Score Media acquisition: SEC
Regulator says engineer traded with advance knowledge of deal for Canadian firm
- By: James Langton
- June 14, 2022 June 14, 2022
- 14:13
SEC charges oil sands tech firm
Regulator alleges an array of false, misleading disclosures
- By: James Langton
- June 14, 2022 June 14, 2022
- 14:10
Review recommends binding powers for OBSI — again
It remains up to regulators to act on long-standing recommendation
- By: James Langton
- June 13, 2022 June 13, 2022
- 14:44
U.S. market structure shakeup would create winners and losers
Possible SEC reforms to order handling rules would reshape trading landscape: Moody's
- By: James Langton
- June 13, 2022 June 13, 2022
- 13:57
SEC scolds Schwab over robo disclosures
Firm touted lack of fees while making money on investors' cash holdings
- By: James Langton
- June 13, 2022 June 13, 2022
- 13:45
MX to end pandemic-related relief
Compliance accommodations adopted in March 2020 will expire June 30
- By: James Langton
- June 9, 2022 June 9, 2022
- 16:34
CSA proposes derivatives data reporting reforms
Harmonization comes against the backdrop of ongoing post-crisis effort to close data gaps
- By: James Langton
- June 9, 2022 June 9, 2022
- 15:44
Market risks are high, and rising: ESMA
Russia's invasion of Ukraine a key catalyst to an array of risks
- By: James Langton
- June 9, 2022 June 9, 2022
- 13:36
Bank of Canada says household debt and home prices key risks for financial system
Assessing the vulnerabilities from high household debt has become more complex over the past two years
- By: The Canadian Press
- June 9, 2022 June 9, 2022
- 10:23
SEC seeks level playing field for retail investors
Regulator to consider sweeping market structure reforms
- By: James Langton
- June 8, 2022 June 8, 2022
- 16:49
LME faces hedge fund complaint over nickel turmoil
Trade group unhappy with market controls, cancelled trades
- By: James Langton
- June 8, 2022 June 8, 2022
- 15:40
CIFP approved as credentialing body for Ontario financial advisor, planner titles
RFRA, RRA and RRC are the latest approved designations
- June 8, 2022 June 8, 2022
- 15:36
B.C. court certifies cyber-breach class action
Lawsuit on behalf of Canadian credit card customers seeks $800 million in damages
- By: James Langton
- June 6, 2022 June 6, 2022
- 17:12
Ahead of new SRO, MFDA names council members
Appointees will join new SRO's disciplinary committees
- By: James Langton
- June 6, 2022 June 6, 2022
- 13:20
CFTC consults on climate risk
Regulator aims to get educated on climate concerns for derivatives, commodity markets
- By: James Langton
- June 3, 2022 June 3, 2022
- 13:45
Merrill Lynch resolves mutual fund overcharging case
Firm's systems failed to spot clients who were eligible for cheaper fund series
- By: James Langton
- June 2, 2022 June 2, 2022
- 17:09