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Global banks making headway on Basel III

New report finds large global banks are continuing to build up their capital and liquidity positions

CPAB names new chair, vice chair

Benita Warmbold is the first woman to head the audit regulator's board

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FCA fines UBS £27.6 million for reporting failures

The banking giant was fined for failings involving 135.8 million transaction reports

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Fund manager asks OSC for public debate on Bitcoin fund

3iQ argues the regulator set tougher standards for its fund in terms of valuation, custody and liquidity

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Fund dealers face more phishing

MFDA warns dealers not to click on links in suspicious emails

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MX seeks candidates for disciplinary committees

Members would hear complaints and make decisions regarding settlement offers

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FDIC settles with PwC over bank that failed in 2009

Alabama-based Colonial Bank had acquired hundreds of millions of dollars worth of fraudulent mortgages

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CSA provides guidance to trading venues on reporting systems failures

The guidance outlines the types of incidents that must be reported, and what reports should include

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CSA proposes tweaks to syndicated mortgage reforms

The new proposals set out registration and prospectus exemptions in several provinces

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SEC charges Volkswagen, former CEO with defrauding investors

The charges come two years after the automaker settled with the U.S. over criminal and civil charges

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MFDA seeks governance reforms

The SRO said the proposed changes would enhance the independence of its governance committee

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Hong Kong regulators hit underwriters with hefty fines

Four investment firms cited for lax due diligence efforts

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CSA proposes rule to prevent manipulation of benchmarks

Regulator says misconduct has "led to significant negative impacts"

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CSA, IIROC propose framework to regulate cryptoasset trading

Structure would be based on existing rules for conventional securities trading venues

FCA seeks to ease switching and boost competition

The new rules being proposed would make it easier for consumers to switch firms

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U.S. firm settles allegations that it failed to detect rep’s role in a securities fraud

The SEC says the rep was involved in a penny stock market manipulation scheme between 2008 and 2014

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Securities recidivist and former fugitive gets jail time

The man was arrested last fall after a joint effort from B.C. and Ontario regulators

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Regulators set guidance for banks’ cryptoasset exposures

Crypotassets are a volatile, immature asset class, Basel Committee says

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Fed bans ex-Goldman bankers in Malaysian fund scandal

Two former senior investment bankers have been banned permanently from the U.S. banking industry

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Retail trading practices face regulators’ scrutiny

The CSA and IIROC seek feedback on the impact of internalization on Canadian equity markets

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U.K. regulators tackling financial sector risks from climate change

Membership in new group includes banks, insurers and asset managers

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ASIC scolds firms for slow reviews of systemic advice failures

The regulator plans to take action against firms that engaged in misconduct

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Auditor, regulator convicted of cheating oversight process

Convictions stem from a scheme to access confidential information about audits

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SEC settles with scores of firms that admitted trailer fee disclosure failures

The firms admitted to failing to properly disclose ongoing mutual fund fees to clients

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ASC settles with lawyer over alleged market manipulation scheme

The lawyer failed to identify that a former client was allegedly engaging in a market manipulation