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AMID INCREASING CYBER THREATS, REPORTING NEEDS AN OVERHAUL: FSB

As cybersecurity threats grow, fragmented reporting of security incidents represents an increasing vulnerability. In response, the Financial Stability Board (FSB) is calling on regulators to pursue h...

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IIROC
INTL FCSTONE FINANCIAL (CANADA) INC. NAME CHANGE
October 19, 2021

INTL FCStone Financial (Canada) Inc. has changed its name to StoneX Financial (Canada) Inc. effective September 20th, 2021.

OBSI
OBSI INCREASING PARTICIPATING FIRM FEES FOR BANKS AND IIROC/MFDA MEMBERS BY 20%
October 19, 2021

The OBSI has released guidance on 2022 participating firm fees which indicates that fees will be increased by 20% for Banks and I...

Investment Executive
CRYPTO LENDING TARGETED BY N.Y.’S ATTORNEY GENERAL
October 19, 2021

The New York state attorney general’s office is seeking to shut down unregistered cryptocurrency lending platforms. The state ...

SEC
SEC EXAMINES “MEME” STOCK PHENOMENON
October 19, 2021

The “meme” stock phenomenon raises a variety of questions about the structure of U.S. equity markets, a report from the U.S. Secu...

BCSC
KELOWNA PORTFOLIO MANAGER PAYS $55,700 FOR INADEQUATE CONTROLS AND SUPERVISION
October 19, 2021

The BCSC has found that a Kelowna portfolio manager had inadequate compliance systems, record-keeping, and financial reporting. T...

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