Shadow banking under the microscope post-pandemic: FSB
Global policymakers seek lessons from the Covid-19 crisis
- By: James Langton
- February 25, 2021 February 25, 2021
- 13:32
Latest news in From the Regulators
Investors need more detail on Covid-19 effects: CSA
A review finds issuers are generally doing a good job spelling out the pandemic's impact on their businesses
- By: James Langton
- February 25, 2021 February 25, 2021
- 12:19
IOSCO demands better ESG disclosure
Regulators will focus first on better climate standards before turning to other ESG issues
- By: James Langton
- February 24, 2021 February 24, 2021
- 15:27
MFDA targets firms’ performance reporting
Fund dealers were advised to examine their client reports for unusual or incorrect information
- By: James Langton
- February 24, 2021 February 24, 2021
- 15:14
ASIC ready to make deals with devils
The regulator will offer civil and criminal immunity for ratting out insider trading and market manipulation
- By: James Langton
- February 24, 2021 February 24, 2021
- 13:57
How’s your advisor treating you? The BCSC wants to know
The regulator says it will contact clients directly as part of compliance reviews
- By: James Langton
- February 23, 2021 February 23, 2021
- 13:53
SEC whistleblower double dips
A tip that generated SEC and DoJ enforcement action has garnered two financial awards
- By: James Langton
- February 23, 2021 February 23, 2021
- 12:11
Vulnerable clients deserve same results as everyone else: FCA
The U.K. regulator issued guidance aiming to ensure at-risk clients are treated fairly by financial firms
- By: James Langton
- February 23, 2021 February 23, 2021
- 11:57
OSC settles with mortgage broker
Firm self-reported violations, took remedial action and is seeking EMD status
- By: James Langton
- February 22, 2021 February 22, 2021
- 18:08
Don’t let CRA tax interest relief tempt you into filing late, experts warn
The 2021 tax season is now underway
- By: Rudy Mezzetta
- February 22, 2021 February 22, 2021
- 15:53
SROs to hear their fate this summer: CSA
Regulators are weighing options for the future of the self-regulatory framework
- By: James Langton
- February 22, 2021 February 22, 2021
- 12:05
Whistleblower tips garner SEC rewards
Regulator pays out another US$3 million for enforcement help
- By: James Langton
- February 19, 2021 February 19, 2021
- 13:40
Research unbundling hasn’t hurt small company coverage: ESMA
MiFID II reform fears unfounded, research finds
- By: James Langton
- February 18, 2021 February 18, 2021
- 12:39
FSRA warns about life agent misconduct
The regulator reminded insurers to watch over agents, including MGA reps
- By: James Langton
- February 17, 2021 February 17, 2021
- 15:15
Instant quote websites targeted by hackers, NY DFS warns
Regulator issues cybersecurity alert to financial industry
- By: James Langton
- February 16, 2021 February 16, 2021
- 17:21
IIROC seeks district council nominations
The deadline for dealers to nominate candidates is March 12
- By: James Langton
- February 12, 2021 February 12, 2021
- 15:32
Fed sets stress test scenarios for 2021
Whether big banks would be resilient to a severe recession, an unemployment spike and a stock market plunge will be tested
- By: James Langton
- February 12, 2021 February 12, 2021
- 13:07
Advice misconduct costs Aussie banks over $1 billion
Poor advice and fees for no advice prompt client compensation
- By: James Langton
- February 12, 2021 February 12, 2021
- 12:57
Unilateral Ontario reforms could hurt harmonization, provincial regs warn
The CSA, excluding the OSC, also urges Ontario to join its passport system
- By: James Langton
- February 12, 2021 February 12, 2021
- 10:14
SEC halts stock due to social media hype
Inactive company saw trading spike amid online chatter
- By: James Langton
- February 11, 2021 February 11, 2021
- 16:12
Pandemic leaves millions financially vulnerable: FCA
More people in the U.K found themselves in precarious financial situations in 2020
- By: James Langton
- February 11, 2021 February 11, 2021
- 16:02
IIROC re-issues investor bulletin amid increase in DIY investor complaints
The number of do-it-yourself accounts surged last year
- By: IE Staff
- February 10, 2021 February 10, 2021
- 15:59
ASC sanctions exempt market rep for suitability, KYC failures
A hearing panel ordered a penalty that was lower than what enforcement staff sought
- By: James Langton
- February 9, 2021 February 9, 2021
- 17:11
Social isolation adds to seniors’ fraud risk: NASAA
Loneliness, cognitive decline and an increased reliance on the internet intensify investors' vulnerability
- By: James Langton
- February 9, 2021 February 9, 2021
- 12:51