Crypto platform banned by OSC
The move follows a $2 million administrative penalty and Quebec ban by the Tribunal administratif des marchés financiers du Québec
Latest news in Regulators’ Report Card
What are the toughest CFR challenges for firms?
Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements
- By: Katie Keir
- November 23, 2020 December 11, 2020
- 00:10
Regulators’ efforts to cut red tape continue
Adapting to the pandemic has revealed new efficiencies
- By: James Langton
- November 23, 2020 December 11, 2020
- 00:09
Regulators try to boost fintech adoption
From e-signatures to artificial intelligence, regulators are trying to get ahead
- By: Fiona Collie
- November 23, 2020 December 11, 2020
- 00:08
A higher opinion
Compliance professionals more satisfied with regulators this year
- By: James Langton
- April 5, 2019 August 22, 2022
- 10:18
Reducing the burden by culling the herd
Compliance officers still hoping for national regulator, SRO merger
- By: James Langton
- April 5, 2019 November 11, 2019
- 10:17
Big concerns for small firms
Firm size affects the regulatory experience, compliance officers at small firms lament
- By: James Langton
- April 5, 2019 November 11, 2019
- 10:15
Volatility worries compliance officers
Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead
- By: Leah Golob
- April 5, 2019 November 11, 2019
- 10:14
MFDA the higher-rated SRO
Ratings up across the board for the fund dealer regulator
- By: James Langton
- April 5, 2019 November 11, 2019
- 10:13
Upcoming hurdles for communication
Compliance executives recognize regulators' efforts, but desire more support
- By: Katie Keir
- April 5, 2019 November 11, 2019
- 10:12
Watchdogs respond to rise of fintech
Ratings improved for regulators' support of innovation, but there's more work to be done
- By: Bryson Masse
- April 5, 2019 November 11, 2019
- 10:11
Court denies appeal of OSC panel’s decisions
The panel found that contracts that were marketed as a tax-planning vehicle amounted to securities
- By: James Langton
- November 16, 2018 November 11, 2019
- 15:20
SEC awards almost US$4 million to overseas whistleblower
The anonymous tipster furnished extensive assistance which helped the U.S. regulator bring a successful enforcement action in the case
- By: James Langton
- September 25, 2018 November 13, 2019
- 17:30
IOSCO board to develop ICO framework for regulators
The umbrella group of global securities regulators held its annual annual conference in Budapest
- By: James Langton
- May 10, 2018 November 11, 2019
- 14:00
NASAA report confirms progress to comply with DOL fiduciary rule
Conduct standards in the U.S. brokerage industry remain in flux
- April 24, 2018 November 11, 2019
- 15:00
Dissatisfaction with regulators increases
Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune
- By: James Langton
- March 29, 2018 November 11, 2019
- 00:19
How we did it
IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry
- By: Fiona Collie
- March 29, 2018 November 11, 2019
- 00:17
Debating regulators’ role in cybersecurity
While some survey participants said regulators should be doing more about cybersecurity, others said the onus is on the industry
- By: James Langton
- March 29, 2018 November 11, 2019
- 00:16
Regulators focus on fintech
Provincial regulators were recognized for facilitating fintech, but some survey participants still had concerns
- By: Fiona Collie
- March 29, 2018 November 11, 2019
- 00:15
A balancing act for regulators
Regulators are doing a better job of protecting investors without restricting business, but more needs to be done
- By: Megan Harman
- March 29, 2018 November 11, 2019
- 00:14
Approaches to small firms differ greatly
The OSC, BCSC and ASC were praised for making life easier for smaller dealers, but the same can't be said for the SROs and the…
- By: Leah Golob
- March 29, 2018 November 11, 2019
- 00:13
Small firms call for greater representation
There are complaints that larger firms comprise an outsized proportion of the SROs' boards and these firms have a greater voice
- By: Anthony Burton
- March 29, 2018 November 11, 2019
- 00:12
Empathy for the regulators
Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)
- By: James Langton
- March 30, 2017 November 11, 2019
- 23:45