Elevated risks are here to stay: ESMA
Market rebounds may occur, but the risk will remain high
- By: James Langton
- April 2, 2020 April 2, 2020
- 13:12
Latest news in From the Regulators
ESMA votes no on commission ban — for now
Regulator recommends studying ban, beefing up disclosure
- By: James Langton
- April 1, 2020 April 1, 2020
- 13:35
FAIR Canada calls for comprehensive SRO review
Investor group says CSA must go deeper than an IIROC-MFDA merger review
- By: James Langton
- March 31, 2020 March 31, 2020
- 17:21
IIROC entertains broader relief for dealers
The SRO is prepared to grant temporary exemptions from several requirements
- By: James Langton
- March 31, 2020 March 31, 2020
- 16:05
Raising capital in a crisis
ASIC provides relief to facilitate "low doc" offerings
- By: James Langton
- March 31, 2020 March 31, 2020
- 12:41
NASAA sees scam surge on the way
Regulators expect an array of pandemic-driven frauds
- By: James Langton
- March 30, 2020 March 30, 2020
- 15:24
Dealers warned of spike in account hacking
IIROC reports that account intrusions are increasing
- By: James Langton
- March 30, 2020 March 30, 2020
- 13:07
After in-house reporting fails, tip to SEC pays off
Compliance whistleblower gets SEC award after internal reporting stumbles
- By: James Langton
- March 30, 2020 March 30, 2020
- 12:52
Final Basel III reforms delayed
Regulators agree to push back implementation of certain provisions for a year
- By: James Langton
- March 27, 2020 March 27, 2020
- 13:58
ESMA consults on leverage limits for alt funds
The consultation proposes regulatory guidance to address leverage risk in alternative funds
- By: James Langton
- March 27, 2020 March 27, 2020
- 12:47
FINRA issues cybersecurity alert
The SRO warns of increased cyberattacks as firms operate remotely
- By: James Langton
- March 26, 2020 March 26, 2020
- 16:40
Client identifier implementation delayed to July 2021
IIROC revises the deadline due to technical complexity, risk
- By: James Langton
- March 26, 2020 March 26, 2020
- 15:57
IIROC delays change to debt reporting
The April deadline has been pushed to July
- By: James Langton
- March 26, 2020 March 26, 2020
- 15:25
MFDA proposes CE accreditation rules
The proposals are out for a 135-day comment period
- By: James Langton
- March 26, 2020 March 26, 2020
- 15:15
MX looks to renew regulatory oversight group
The derivatives exchange seeks candidates for a special committee
- By: James Langton
- March 26, 2020 March 26, 2020
- 12:42
SEC pushes Covid-19 relief into the summer
The regulator extended existing relief for issuers and investment advisers
- By: James Langton
- March 25, 2020 March 25, 2020
- 16:43
LIBOR deadline unchanged: FCA
The U.K. regulator is committed to a 2021 end for LIBOR, but admits interim steps may be affected
- By: James Langton
- March 25, 2020 March 25, 2020
- 16:25
Keeping the lights on for financial markets
IOSCO is committed to ensuring that markets stay open and operational
- By: James Langton
- March 25, 2020 March 25, 2020
- 15:05
SEC rewards more tipsters
Whistleblowers take home combined US$570,000 for enforcement tips
- By: James Langton
- March 24, 2020 March 24, 2020
- 14:07
Updated: Capital markets deemed essential, open for business
Financial firms, regulators remain operational in Ontario shutdown
- By: James Langton
- March 24, 2020 March 25, 2020
- 11:31
OSC settles unregistered trading case
Mortgage firm sold $26 million in securities to investors in the exempt market
- By: James Langton
- March 23, 2020 March 23, 2020
- 17:28
FCA defends short-selling
Regulator says there's no evidence that shorts are driving markets down
- By: James Langton
- March 23, 2020 March 23, 2020
- 14:43
CSA implements filing relief
Regulators are providing a 45-day extension
- By: James Langton
- March 23, 2020 March 23, 2020
- 14:42
Tipster gets US$1.6 million award from SEC
A whistleblower tipped off the SEC and assisted in an investigation
- By: James Langton
- March 23, 2020 March 23, 2020
- 13:43
TD Waterhouse fined $4 million for ignoring CRM2
An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements
- By: James Langton
- March 23, 2020 March 23, 2020
- 12:43