Latest news in From the Regulators

Many hands choosing cryptocurrency coins from box labeled ICO

OSC alleges that crypto platform fired whistleblower

The OSC also alleges that more than 90% of the firm's crypto trading volume was fake

Three stuffed money bags

Money launderers are grappling with Covid-19, too

FINTRAC says pandemic is upending traditional money laundering

Shot of a mature woman hugging her husband

OSC seeks voices for seniors

The deadline for applications to serve on the regulator's advisory committee is Sept. 11


BCSC orders penalties in Ponzi scheme

Penalties and market bans handed down in $5 million fraud

a woman looking at her computer

Digital sandboxes in the age of Covid-19

U.K.'s FCA to launch new testing environment for industry innovation

40556994 - close up image of stock market data on a computer monitor.

Market exuberance could prove irrational

The economic recovery remains uncertain, the FSB warns

Young businessman with a red tie shouting furiously at his mobile phone

Speak up on SRO reform, MFDA says

The self-regulatory organization calls on fund dealers to participate in policy consultations

Businessman Blowing Whistle Isolated on White Background

SEC pays US$3.8 million whistleblower award

Tip led to millions of dollars being returned to investors

IIROC calls for advisory committee volunteers

Nominations for market reg and fixed-income committees due Aug. 21

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

SEC charges Ontario pair

Firm allegedly sold stock based on false hype about its wind turbine technology

business man using magnifying glass to inspect documents

Standard setters seek to enhance auditing

Report recommends reforms to the process for crafting audit standards

Smartphone with finance and market icons and symbols concept

Committee calls for collaboration on cross-border payments

A report lays out the economic benefits

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

OSFI plans policy restart for fall

Federal financial regulator to consult on content and pace of policy plans

Business lawyer team. Working together of lawyer in the meeting.

Crypto app sanctioned for straying into swap trading

SEC and CTFC settle charges against app developer

United States Federal Reserve System symbol

SEC seeks to cut fund manager reporting burden

Proposal would boost reporting threshold from US$100 million to US$3.5 billion

  • July 10, 2020 July 10, 2020
  • 17:11
Couple getting financial retirement advice from consultant at home

FAIR Canada applauds Soliman report recommendations for OBSI

Ontario's capital markets task force recommends binding authority, higher compensation limits

Queen's Park, Ontario legislature, exterior

Open for business? Sure. DSC monkey business? No, thanks

Investors, industry pan the OSC's DSC preservation proposals

stock market world economy abstract

More work needed to meet LIBOR deadline

Report from FSB, Basel Committee sets out recommendations for speeding transition

Hi-tech technological background with numbers and calculations

FINRA wants heads up on firms’ crypto activities

The SRO calls on dealers to disclose any involvement with digital assets

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Ontario capital markets task force proposes big changes

Group suggests a transformation of OSC and SRO governance


Quebec man pleads guilty to tax evasion charges

The resident of Laval was also fined almost $500,000

  • By: IE Staff
  • July 8, 2020 July 8, 2020
  • 15:02
notepad, laptop and coffee cup on wood table

Wide range of IIROC dealers seek relief

The SRO staff's authority to rule on exemption applications has been extended

smart phone running a trading or forex app with charts and data

Forex frauds on the rise

NSSC warns about a surge in scams on social media

Closeup of mallet being hit on stacked coins at table in courtroom

Deutsche Bank sanctioned over Epstein dealings

Regulators said the bank failed to detect the former financier's suspicious account activity


Settlements bolster OSC collections from sanctions

The regulator collected 95% of sanctions in the last fiscal year, boosting its designated fund to $118.4 million