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Policymakers urged to work toward global policies on cryptocurrencies

Such a strategy would need to cover risks in both cash and derivatives products, BoC deputy governor says

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CDPSF offers new governance and compliance training course

The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance

  • By: IE Staff
  • March 22, 2018 March 22, 2018
  • 10:50
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FCA sets out approach to supervision and enforcement

Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity

  • By: IE Staff
  • March 21, 2018 March 21, 2018
  • 13:00
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FCAC says controls to mitigate sales risk at banks “insufficient”

The consumer watchdog reviewed business practices across Canada’s Big Six banks

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OSC publishes Seniors Strategy

Regulator outlines initiatives to respond to the needs of Ontario seniors and the investment industry

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Manitoba moves to strengthen IIROC’s ability to collect fines

Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities

  • By: IE Staff
  • March 19, 2018 March 19, 2018
  • 15:45
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Ontario one step closer to regulating financial planners

A new consultation paper invites comments on proposals that would restrict the use of the title “financial planner” to those with the necessary proficiency or…

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Burlington, Ont. promoter charged with fraud

The allegations relate to the sale of more than $1 million worth of securities of A4 Diamonds Inc. to Ontario investors

  • March 16, 2018 March 16, 2018
  • 14:00
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CSA mulls pilot study of trading fee rebate payments

The U.S. announced a similar pilot earlier this week

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European regulators weigh risks of big data

Legislative intervention at this point would be premature, ESAs conclude

  • March 16, 2018 March 16, 2018
  • 10:15
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OSC to leave regulatory fees unchanged

Higher revenues and lower cost will produce a surplus for the regulator in fiscal 2018

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SEC proposes transaction fee pilot program

U.S. securities regulators are planning to test trading fee limits

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MFDA calls for nominations to regional councils

The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings

FCA publishes paper on transforming culture in financial services

The industry’s culture is a priority for the U.K. regulator given its impact, and the role that it must play in re-building trust in financial…

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OSC denies registration to aspiring mutual fund rep

The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail

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IOSCO seeks to protect senior investors

Aging investors seen as particularly vulnerable to financial fraud, unsuitable investments and other risks

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OSC, German regulators sign deal on oversight of central counterparties

The agreement establishes a framework for consultation, co-operation and information-sharing between the OSC, BaFin, and the Bundesbank

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IIROC proposes changes to debt transaction reporting requirements

The proposals would reduce the reporting deadlines and increase the amount of data that are collected

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CSA to step up rules on syndicated mortgages

The aim is to reduce the risks related to these products, which are financing highly speculative projects

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European Commission focusing on fintech development

A new action plan introduces new rules to encourage the growth of crowdfunding as well as a host of other measures

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SEC warns of trading digital assets on unregistered, online platforms

The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not

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Regulators address extreme market volatility

Extreme volatility can “weaken market integrity and reduce investor confidence,” IOSCO says

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Three NYSE exchanges reach US$14-million settlement with the SEC

NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations

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B.C. court awards couple $1.7 million in damages against the CRA

The court ordered $750,000 in punitive damages against the tax agency, saying that the charges never should have been brought

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Global banks meeting revised Basel III requirements

New review from the Basel Committee on Banking Supervision finds that all banks meet their Tier 1 common equity requirement