IOSCO enhances oversight of outsourcing
The pandemic highlighted the importance of ensuring operational resilience
- By: James Langton
- October 27, 2021 October 27, 2021
- 14:31
Latest news in From the Regulators
Pandemic aftershock risks still loom over financial system: FSB
Systemic risk to the industry remains, as crisis response measures have created vulnerabilities
- By: James Langton
- October 27, 2021 October 27, 2021
- 13:03
Droog turned stock tout, U.S. authorities allege
Trader accused of using Twitter account to carry out pump and dumps
- By: James Langton
- October 26, 2021 October 26, 2021
- 17:01
Margin calls spiked amid pandemic
Global standards setters will consider reforms following a consultation
- By: James Langton
- October 26, 2021 October 26, 2021
- 14:39
Meme stock reforms would be good for markets
Action on issues uncovered in SEC review would prove positive for most, Moody's says
- By: James Langton
- October 25, 2021 October 25, 2021
- 17:31
FINRA to shutter OTC Bulletin Board
The regulator will turn off its over-the-counter trading system on Nov. 8
- By: James Langton
- October 25, 2021 October 25, 2021
- 17:16
Patience a virtue for U.K.’s new long-term asset funds
FCA will consider expanding access to retail investors next year
- By: James Langton
- October 25, 2021 October 25, 2021
- 13:51
IIROC to accredit continuing education courses in-house
The regulator's accreditation relationship with CECAP will end on Dec. 31
- By: IE Staff
- October 25, 2021 October 25, 2021
- 11:26
CFTC pays record award for fruitful tip
The payout was the U.S. regulator's first for action involving foreign enforcement
- By: James Langton
- October 21, 2021 October 21, 2021
- 14:16
Ontario set to release fall economic statement in early November
The recent throne speech said recovery from the pandemic will be fuelled by growth, not spending cuts or tax hikes
- By: The Canadian Press
- October 20, 2021 October 20, 2021
- 15:31
Amid increasing cyber threats, reporting needs an overhaul: FSB
Group calls for harmonized incident reporting to counter rising risk
- By: James Langton
- October 19, 2021 October 19, 2021
- 14:02
SEC examines “meme” stock phenomenon
A report highlights possible reforms to address issues uncovered in volatile trading
- By: James Langton
- October 18, 2021 October 18, 2021
- 17:39
Crypto lending targeted by N.Y.’s attorney general
The state invoked investor protection law to shutter unregistered platforms
- By: James Langton
- October 18, 2021 October 18, 2021
- 15:46
CSA to mandate issuers’ climate change disclosure
The proposals, which are largely in line with TCFD recommendations, won't take effect before the end of 2022
- By: James Langton
- October 18, 2021 October 18, 2021
- 11:01
CFTC sanctions Tether, Bitfinex
The sanctions between the two total US$42.5 million, to settle the U.S. regulator's allegations
- By: James Langton
- October 15, 2021 October 15, 2021
- 13:13
Post-crisis reforms helped banks ride out pandemic
Basel III implementation made progress despite extreme market turmoil
- By: James Langton
- October 14, 2021 October 15, 2021
- 15:13
Investors duped in RSP unlocking scheme, OSC alleges
The accused allegedly diverted investors' funds for personal use
- By: James Langton
- October 14, 2021 October 14, 2021
- 08:23
Ex-rep sanctioned over payments to unhappy clients
IIROC panel found rep secretly compensated clients, misled investigators
- By: James Langton
- October 13, 2021 October 13, 2021
- 17:52
U.S. exec pleads guilty in Canadian accounting fraud
Perpetrator of Poseidon Concepts Corp. scheme pleads to U.S. criminal charges
- By: James Langton
- October 13, 2021 October 13, 2021
- 16:10
FSB seeks practical progress on cross-border payments
Group sets targets for improving cost, speed, transparency
- By: James Langton
- October 13, 2021 October 13, 2021
- 15:54
Testing, testing: Is this innovation on?
The OSC is launching a new initiative to allow experimentation for novel ideas
- By: James Langton
- October 13, 2021 October 13, 2021
- 15:05
Ontario releases new proposed securities law for comment
The new Capital Markets Act adopts numerous task force reform ideas
- By: James Langton
- October 12, 2021 October 12, 2021
- 18:01
Prospective suitors emerge for Bridging Finance
The firm has five "primary" bidders, with six others targeting certain loans
- By: James Langton
- October 12, 2021 December 23, 2021
- 17:25
Global regulators take another crack at shoring up money market funds
FSB proposals aim to address weaknesses revealed by extreme market stress
- By: James Langton
- October 12, 2021 October 12, 2021
- 15:08
For banks, governance risks remain key: Fitch
NatWest's criminal charges for AML violations highlight the issue
- By: James Langton
- October 8, 2021 October 8, 2021
- 14:22