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
Latest news in From the Regulators
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
Aussie regulators drop almost everything to tackle Covid-19
Enforcement to protect markets and consumers will continue, but routine work has been shelved until Sept. 30
- By: James Langton
- March 23, 2020 March 23, 2020
- 12:04
Court denies bid to re-examine client overcharging
The ruling said there are other ways to determine whether the regulatory settlement was adequate
- By: James Langton
- March 20, 2020 March 20, 2020
- 16:26
IOSCO employee tests positive for Covid-19
No other staff have had recent contact with the employee
- By: James Langton
- March 20, 2020 March 20, 2020
- 12:46
Banks, insurers plan virtual AGMs
CSA issues guidance for taking annual meetings online
- By: James Langton
- March 20, 2020 March 20, 2020
- 11:49
Pandemic proves a paradise for cybercriminals
The MFDA warns that phishing and other cyberattacks are on the rise
- By: James Langton
- March 19, 2020 March 19, 2020
- 16:45
MX issues guidance for derivatives firms
The exchange will allow flexibility but no exemptions
- By: James Langton
- March 19, 2020 March 19, 2020
- 11:27
Fed launches mutual fund backstop
Facility aims to ensure funds can meet increased redemption demands
- By: James Langton
- March 19, 2020 March 19, 2020
- 10:51
CSA extends filing, comment deadlines
Regulators provide 45-day extensions for filings, comment periods
- By: James Langton
- March 19, 2020 March 19, 2020
- 09:39
FINRA proposes trade reporting fee
The U.S. SRO will charge fees for reporting Treasuries trades
- By: James Langton
- March 18, 2020 March 18, 2020
- 14:36
Conviction stands, but no jail for former rep
Appeal court upholds conviction, says jail time not warranted
- By: James Langton
- March 18, 2020 March 18, 2020
- 13:05
CFTC expands Covid-19 relief
Provisions aim to enable remote working arrangements
- By: James Langton
- March 18, 2020 March 18, 2020
- 12:00