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Keyword: Regulation

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IIROC sanctions Instinet over trade supervision

Firm to pay $170,000 in fines and costs

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Being investigated by a regulator? Co-operation is crucial

A head-in-the-sand approach makes matters worse

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Insurance regulator explains why it slashed 73% of regulatory guidance

Mark White, CEO of FSRA, discusses the regulator's efforts to increase efficiency

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U.S. regulators warn of Covid-19 scams

Fraudsters urging investors to buy new, risky investments, regulators say

Two golden coins - Bitcoin and Ethereum

Crypto miners broke securities law, OSC finds

The fundraising effort included online marketing, investment seminars and a flea market booth

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Nearly one quarter of OSC’s burden-reduction projects delayed

The regulator offered an update on its efforts on Wednesday

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BMO to discontinue DSC funds later this year

The firm will no longer offer the low-load DSC purchase option across its mutual fund lineup around Nov. 1

  • By: Staff
  • May 25, 2020 May 25, 2020
  • 15:11
Gavel

PACE suspended by IIROC

Dealer firm consents to suspension by industry SRO

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Pre-signed forms the top MFDA enforcement issue — again

Self-regulatory organization also issued fines totalling $9.3 million in 2019

  • By: Staff
  • May 12, 2020 May 12, 2020
  • 16:11
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Vingoe takes role as OSC acting head amid pandemic challenges

Maureen Jensen announced her departure in January