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Pandemic turns banks into preppers

Regulators' proposals aim to ensure banks can endure severe negative events

compliance puzzle

CSA reforms syndicated mortgage rules

Regulators harmonize exemptions and enhance disclosure requirements

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PEAK settles with MFDA

Fund dealer admits to not fully investigating suspected rep misconduct

advisor working from home

SEC proposes fund reporting overhaul

The proposals seek a more investor-friendly approach to fund disclosure

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OSC seeks to ban securities fraudster

Regulator to hold hearing for Canadian serving time in U.S.

gavel on a laptop

Everyone lies online — just not in virtual hearings, please

OSC publishes guide for online proceedings

doctor with phonendoscope

IIROC gets clean sheet in CSA review

No issues found in targeted review of SRO's enforcement function

Block Chain word with icons as vector illustration

Hackathon seeks ‘tradetech’ solutions

The tech competition aims to further trade finance innovation

Red alert

CFTC warns investors about Covid-19 relief schemes

Regulator warns against using relaxed rules to convert savings into precious metal investments

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Court rejects appeal of OSC’s decision in Quadrexx case

The regulator didn't make errors or deny fairness, the court finds

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OSC confirms all hearings will be remote until further notice

Office of the Secretary will make alternate arrangements for hearings up until December

  • By: IE Staff
  • July 31, 2020 July 31, 2020
  • 15:47
rules and regulations written on folder

OSC issues interim order on startup crowdfunding exemptions

The order was issued in response to the effects of Covid-19 on small businesses

  • By: IE Staff
  • July 30, 2020 July 30, 2020
  • 15:24

Fintechs elude official statistics: BIS

Report recommends steps for central banks to close data gap on innovators

rules and regulations

IIROC seeks to tweak rules as overhaul delayed

SRO proposes early adoption of provisions from plain language rewrite

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Companies to get bigger say in proxy voting advice

SEC adopts reforms that will give issuers a bigger voice

Insurer charged over cybersecurity failings

New York regulator brings first charges alleging cyber shortcomings

Bitcoin Electronic Crypto Currency Exchange Concept Illustration

Crypto firm making dubious claims, MSC says

Regulator warns about firm that purports to operate from world's polar bear capital

Man gets registration despite ugly past

OSC staff cited integrity concerns when recommending against registration for man with child porn conviction

Judge gavel, scales of justice and law books in court

Innovate, don’t violate, OSC warns crypto sector in Coinsquare ruling

Regulator settles with crypto firm that faked trading volume, fired whistleblower

As markets chill, BoC pulls back

Central bank slowing the pace of short-term purchases

closeup old hand with crutch

How are firms dealing with cognitive decline in advisor ranks?

NASAA examines industry response to advisors with cognitive issues

Whistleblower

Culpable whistleblower receives monetary award

CFTC awards two tipsters, one who was involved in the scheme

FSRA outlines insurance agent misconduct

Regulator received 52 complaint forms over a period of 10 months

  • By: IE Staff
  • July 20, 2020 July 20, 2020
  • 15:36
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Investment adviser charged in alleged US$100-million Ponzi scheme

Firm co-founder accused of defrauding investors by mismarking, making up investments

First enforcement, now an exemption

After sanctioning non-compliance, IIROC board grants relief from CRM2 provision to TD Waterhouse