IIROC panel overstepped on sanctions, ASC finds
Commission cuts fine, suspension imposed on rep
- By: James Langton
- October 19, 2020 October 19, 2020
- 12:55
Latest news in From the Regulators
Brookfield Asset Management to buy 19.9% stake in American Equity
The U.S. firm specializes in fixed index annuities
- By: The Canadian Press
- October 19, 2020 October 19, 2020
- 10:37
OSFI reviewing its anti-money laundering rules
FINTRAC and OSFI are redistributing AML responsibilities
- By: James Langton
- October 16, 2020 October 16, 2020
- 14:50
Despite dissent, SEC softens auditor independence rules
Two commissioners have criticized the weaker standards, claiming they reduce transparency
- By: James Langton
- October 16, 2020 October 16, 2020
- 13:33
Sketching a path to the end of LIBOR
FSB aims to curb transition risks with industry roadmap
- By: James Langton
- October 16, 2020 October 16, 2020
- 12:50
Bitcoin fraud prompts call for social media regulation
NY DFS calls for cybersecurity standards after Twitter hack
- By: James Langton
- October 15, 2020 October 15, 2020
- 13:06
MFDA panel fines, bans rep for syndicated mortgage misconduct
Former rep hit with $850,000 fine for breaching a variety of SRO rules
- By: James Langton
- October 15, 2020 October 15, 2020
- 12:23
CRA to be understanding with pandemic-stressed taxpayers
The new taxpayer watchdog plans to monitor how the agency treats Canadians
- By: The Canadian Press
- October 14, 2020 October 14, 2020
- 14:33
OSFI-FSRA committee to review DC plan oversight
The regulators are launching an advisory committee to harmonize, enhance regulation
- By: James Langton
- October 14, 2020 October 14, 2020
- 11:29
IIROC extends relief for firms into 2021
Exemptions largely help to accommodate realities of remote working
- By: James Langton
- October 13, 2020 October 13, 2020
- 14:02
IIROC proposes derivatives trading rules
Proposals would enable the regulation of derivatives trading on exchanges
- By: James Langton
- October 9, 2020 October 9, 2020
- 15:13
As tech’s role in compliance grows, so do concerns: FSB
Resourcing, cyber risk and data-quality issues accompany tech adoption, a report finds
- By: James Langton
- October 9, 2020 October 9, 2020
- 13:04
OSC to syndicated mortgage firms: don’t dilly-dally
Ontario's securities regulator warns firms to seek registration ahead of the upcoming regulatory transition
- By: James Langton
- October 9, 2020 October 9, 2020
- 11:03
IIROC seeks to speed bulk transfers
Proposed rule changes would give SRO staff authority to issue exemptions from certain re-papering requirements
- By: James Langton
- October 8, 2020 October 8, 2020
- 17:09
Dealers say no to pulling all-nighters
IIAC voices firms' concerns with overnight derivatives trading
- By: James Langton
- October 8, 2020 October 8, 2020
- 15:17
Citi slapped over compliance, control failings
Bank hit with $400-million penalty from the U.S. federal banking regulator
- By: James Langton
- October 8, 2020 October 8, 2020
- 14:14
AMF strengthens compliance guidance
New guidance includes reforms adopted under Bill 141
- By: James Langton
- October 7, 2020 October 7, 2020
- 13:38
Fund managers invited into BoC backstop
Corporate bond market support being expanded to enhance efficacy
- By: James Langton
- October 7, 2020 October 7, 2020
- 13:37
Pandemic intensifies policymakers’ data needs
Covid-19 has disrupted global data efforts that began following the 2008 crisis
- By: James Langton
- October 7, 2020 October 7, 2020
- 11:32
Rep opposes shift to virtual enforcement
OSC to consider whether IIROC hearing can go electronic
- By: James Langton
- October 6, 2020 October 6, 2020
- 17:35
Covid-19 is new, but crisis-based scams are not
FINRA, NASAA warn investors about pandemic-driven investment frauds
- By: James Langton
- October 6, 2020 October 6, 2020
- 12:19
Record year for CFTC enforcement
The CFTC's enforcement chief is leaving the agency on Oct. 8 following a "historic" year
- By: James Langton
- October 6, 2020 October 6, 2020
- 11:21
FCA bans crypto derivatives
Valuation, volatility, and violation concerns underpin retail ban
- By: James Langton
- October 6, 2020 October 6, 2020
- 11:13
Former U.S. advisor gets 17 years in sin bin
Ex-NHL players among victims of numerous investment schemes
- By: James Langton
- October 5, 2020 October 5, 2020
- 17:59