New protections for senior investors on the horizon
The CSA will finalize rules designed to protect vulnerable clients by early summer
- By: James Langton
- April 15, 2021 April 15, 2021
- 11:47
Latest news in From the Regulators
Translating climate risks into financial risks takes work
Improving data will enable banks and regulators to better capture climate risks in financial terms
- By: James Langton
- April 14, 2021 April 14, 2021
- 15:32
MX delays extended hours launch
The move to open for trading alongside Asian markets was pushed to Sept. 19
- By: James Langton
- April 14, 2021 April 14, 2021
- 15:22
Pricey products crimp retail returns, ESMA reports
In a diversified portfolio, costs eat up about 27% of investors' returns over 10 years
- By: James Langton
- April 14, 2021 April 15, 2021
- 11:47
Second Wall Street exec admits to fraud
Institutional clients were defrauded of over US$100 million in a long-running scheme, the DoJ says
- By: James Langton
- April 13, 2021 April 13, 2021
- 16:01
Fiduciary duty breach caught by whistleblower
The chief of the SEC's whistleblower office will depart later this month
- By: James Langton
- April 9, 2021 April 9, 2021
- 13:58
CSA delays margin requirements for OTC derivatives
Trading data indicate that delay won't add systemic risk, the regulators said
- By: James Langton
- April 8, 2021 April 8, 2021
- 16:16
Canadian equity issuance soars in Q1: Refinitiv
Canaccord vaulted to the top of the equity underwriting league tables for the quarter
- By: James Langton
- April 8, 2021 April 8, 2021
- 14:43
OSFI proposes new stress test for uninsured mortgages
Increasing the qualifying rate would help ensure borrowers can pay their mortgages if rates rise
- By: Jordan Press, The Canadian Press
- April 8, 2021 April 8, 2021
- 14:26
IIROC offers discount on sanctions for quick settlements
The SRO has adopted an early settlement program but scrapped its plan for punishing minor violations
- By: James Langton
- April 8, 2021 April 8, 2021
- 11:15
OSFI unwinds temporary increase to covered bond limit
The limit was raised last year alongside other measures designed to help financial institutions weather the pandemic
- By: IE Staff
- April 6, 2021 April 6, 2021
- 16:13
Trader was all hat, no cattle, CFTC charges
Regulator alleges fraud scheme involved 200,000 cattle that never existed
- By: James Langton
- April 1, 2021 April 1, 2021
- 16:59
Morisset’s term as CSA chair extended
Hoyt remains vice-chair and Vingoe will head the CSA policy team, until mid-2022
- By: James Langton
- April 1, 2021 April 1, 2021
- 13:48
“Too big to fail” reforms have succeeded, FSB finds
Systemic risk tied to banks has been reduced, but policymakers still spot gaps
- By: James Langton
- April 1, 2021 April 1, 2021
- 13:06
National regulator effort effectively dead
CMAIO operations have been paused and staff laid off
- By: James Langton
- April 1, 2021 April 1, 2021
- 09:07
New exemption aimed at savvy investors in Alberta, Saskatchewan
Investors with more expertise than resources will be allowed to participate in deals alongside accredited investors
- By: James Langton
- March 31, 2021 March 31, 2021
- 15:43
Market risks abound, Europe’s regulators warn
With economic uncertainty not reflected in asset valuations, market correction remains a threat
- By: James Langton
- March 31, 2021 March 31, 2021
- 15:26
FCA set to revise rules for SPACs
The U.K. regulator promises consultation on tougher investor protections, with aim to boost SPAC listings
- By: James Langton
- March 31, 2021 March 31, 2021
- 12:59
Driving privileges at risk for securities scofflaws in B.C.
The BCSC can block drivers' licences and plates for those who fail to pay regulatory sanctions
- By: James Langton
- March 31, 2021 March 31, 2021
- 12:33
Industry group recommends advice-focused SRO
A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection
- By: Melissa Shin
- March 31, 2021 August 8, 2022
- 10:01
Bankruptcy no escape hatch for regulatory sanctions, court rules
A court has found that penalties imposed by the BCSC should survive the bankruptcy process
- By: James Langton
- March 30, 2021 March 30, 2021
- 15:07
SEC sets new whistleblower record
Agency hands out its record-setting 40th financial award for an enforcement tip
- By: James Langton
- March 29, 2021 March 29, 2021
- 14:36
Finance Department sees issues with Facebook’s digital currency, documents show
Officials appeared less concerned about rivals like Bitcoin
- By: The Canadian Press
- March 29, 2021 March 29, 2021
- 13:53