FSRA issues guidance for pension plan administrators
The guidance details administrators' fiduciary duties, including addressing conflicts
- By: IE Staff
- July 28, 2021 July 28, 2021
- 12:56
Latest news in From the Regulators
Investment fund charges should be included in fee summaries: report
A report for the MFDA uses behavioural insights to recommend expanded cost reporting
- By: Mark Burgess
- July 26, 2021 July 26, 2021
- 15:48
MFDA unmasks performance reporting issues
SRO review finds a variety of reasons for botched return calculations
- By: James Langton
- July 26, 2021 July 26, 2021
- 12:15
MFDA’s new CE regime to launch in the fall
Fund dealers' first CE cycle to kick off on Dec. 1
- By: James Langton
- July 23, 2021 July 23, 2021
- 12:54
PwC denies report of potential Bridging Finance sale
The receiver plans to file materials next week seeking court approval for a sale process
- By: James Langton
- July 23, 2021 December 23, 2021
- 12:31
FSRA proposes fees for title regulation
The model sets out how costs will be shared among credentialing bodies
- By: James Langton
- July 22, 2021 July 22, 2021
- 16:10
Fight over Bridging Finance evidence brewing
The OSC is gearing up to oppose claims of improper disclosure
- By: James Langton
- July 22, 2021 December 23, 2021
- 13:14
ASIC puts cold calling on ice
Inquest into industry misconduct leads to "anti-hawking" reforms
- By: James Langton
- July 21, 2021 July 21, 2021
- 12:43
Financial market plumbing not prepared for quick recovery, regs warn
A review found a lack of timely recovery plans, leading to a "serious concern"
- By: James Langton
- July 21, 2021 July 21, 2021
- 12:38
OSC seeks technical expertise on fund regulation
Senior industry compliance and operations experts are wanted for a regulatory advisory committee
- By: James Langton
- July 21, 2021 July 21, 2021
- 12:25
Basel Committee proposes change to G-SIB assessments
Regulators seek to scrap three-year review for ongoing monitoring
- By: James Langton
- July 20, 2021 July 20, 2021
- 14:42
FCA issues anti-greenwashing guidance
The U.K. regulator found the quality of asset managers' ESG fund disclosure to be poor
- By: James Langton
- July 19, 2021 July 19, 2021
- 15:16
SEC settles with UBS over use of volatility-linked product
The US$8.1-million settlement will be distributed to harmed investors
- By: James Langton
- July 19, 2021 July 19, 2021
- 14:08
Crypto regulation a plus for banks, fintechs: Moody’s
Federal Reserve's plans for stablecoins could bring transparency and safety to the sector
- By: James Langton
- July 19, 2021 July 19, 2021
- 13:57
Accountability board seeks to step up enforcement disclosure
Greater transparency could help investors and improve audit quality
- By: James Langton
- July 19, 2021 July 20, 2021
- 13:47
Finance reviews complaint-handling system of banks
Consultation follows a report that exposed deficiencies with the current system
- By: James Langton
- July 16, 2021 July 16, 2021
- 12:52
SPACs pose added risks to investors, ESMA warns
Shell company deals can be complex and risky, regulators say
- By: James Langton
- July 15, 2021 July 15, 2021
- 15:07
Offshore firms pay $4 million for unregistered CFD trading
An OSC hearing panel approves a settlement and says the sanctions represent a deterrent
- By: James Langton
- July 15, 2021 July 15, 2021
- 13:10
OSC warns firms about recent phishing attacks
Industry firms have been targeted with campaigns impersonating regulators
- By: James Langton
- July 15, 2021 July 15, 2021
- 12:50
Industry recruited in the fight against senior abuse
New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors
- By: James Langton
- July 15, 2021 July 15, 2021
- 12:32
Covid-19 gave kickstart to cyber attacks
Remote working, increased dependence on technology and economic disruption have created a perfect storm for cyber criminals
- By: James Langton
- July 14, 2021 July 14, 2021
- 16:48
FSRA to leave limits on life sector incentives
Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives
- By: James Langton
- July 14, 2021 July 14, 2021
- 16:35
Paying cash for enforcement tips is a success: OSC
The regulator's whistleblower program has generated hundreds of tips and paid out millions in rewards
- By: James Langton
- July 14, 2021 July 14, 2021
- 14:23
Regulators plead for more clarity on crypto rules
A pair of SEC commissioners criticized the lack of guidance regarding the regulator's approach to digital assets
- By: James Langton
- July 14, 2021 July 14, 2021
- 13:49
SEC sanctions players in SPAC deal
The regulator alleged that investors were misled by a shell company and its acquisition target
- By: James Langton
- July 13, 2021 July 13, 2021
- 17:36