FCA to scrutinize advice on retirement
The U.K. regulator remains concerned about scams and suitability in the retirement market
- By: James Langton
- January 21, 2020 January 21, 2020
- 16:46
Latest news in From the Regulators
NASAA names new general counsel
A former SEC and CFTC executive will be head of the group's legal division
- By: James Langton
- January 21, 2020 January 21, 2020
- 15:35
Maureen Jensen to step down from OSC
Grant Vingoe will take over as acting chair following Jensen's departure on April 15
- By: James Langton
- January 21, 2020 January 21, 2020
- 10:46
Bank of Canada exploring digital currency
Group of central banks to look at the function and use of digital dollars
- By: James Langton
- January 21, 2020 January 21, 2020
- 09:59
OSFI delays final post-crisis reforms
Revisions to operational risk capital requirements pushed to 2022
- By: James Langton
- January 20, 2020 January 20, 2020
- 16:59
Shadow banking dims, FSB reports
Total shadow banking assets have declined, with growth slowing sharply in the riskiest segments
- By: James Langton
- January 20, 2020 January 20, 2020
- 11:51
OSFI consults on liquidity rules for smaller institutions
The goal is to improve preparedness and resilience to financial risks and to ensure capital and liquidity rules remain appropriate for smaller organizations
- By: James Langton
- January 17, 2020 January 17, 2020
- 13:45
SEC charges Boaz Manor in alleged fraudulent ICO offering
U.S. regulator alleges convicted Portus co-founder used a fake identity to raise more than US$30 million from investors
- By: James Langton
- January 17, 2020 January 17, 2020
- 13:10
Regulators to focus on big projects
With the concept of a national regulator in limbo, the CSA plans to review the self-regulatory structure
- By: James Langton
- January 17, 2020 January 14, 2020
- 00:06
Former fund rep fined, banned by MFDA panel
Allegations include improper personal financial dealings and misleading investigators
- By: James Langton
- January 16, 2020 January 16, 2020
- 16:52
CSA provides guidance on crypto trading
Regulators set out when trading platforms are subject to securities law
- By: James Langton
- January 16, 2020 January 16, 2020
- 12:47
Hastening the demise of LIBOR
U.K. authorities set deadlines for move away from troubled benchmark
- By: James Langton
- January 16, 2020 January 16, 2020
- 11:20
It’s official: IOSCO recommends synchronizing watches
The group first proposed adopting UTC to enhance market oversight back in September
- By: James Langton
- January 16, 2020 January 16, 2020
- 10:57
MX sanctions Deutsche Bank for supervisory shortcomings
Firm gave employees trading access without approval
- By: James Langton
- January 15, 2020 January 15, 2020
- 15:55
Advisor fined $60K for due diligence failures
IIROC says the advisor failed to learn “essential facts” about a client
- By: Michelle Schriver
- January 15, 2020 January 15, 2020
- 14:46
SEC warns of new digital offerings
So-called IEOs may be rife with the same misconduct associated with ICOs
- By: James Langton
- January 14, 2020 January 14, 2020
- 15:11
Man charged with violating OSC order
The regulator alleges he breached an order imposed in a settlement agreement
- By: James Langton
- January 14, 2020 January 14, 2020
- 12:13
BIS adds members, expands committees
The global group of central banks has announced new emerging market members
- By: James Langton
- January 14, 2020 January 14, 2020
- 10:43
IIROC updating guidance alongside rules
The guidance overhaul follows a plain-language rulebook rewrite
- By: James Langton
- January 13, 2020 January 13, 2020
- 17:10
Ethics must keep pace with fintech innovation, regulators say
European banking regulators examine the industry's use of "big data"
- By: James Langton
- January 13, 2020 January 13, 2020
- 15:39
FSRA outlines approach to troubled pensions
Proposed guidance sets out supervisory plans for DB pensions with solvency concerns
- By: James Langton
- January 13, 2020 January 14, 2020
- 15:15
MX to debut new trading controls
Exchange seeks to guard against excess volatility in early-morning trading
- By: James Langton
- January 10, 2020 January 10, 2020
- 14:34
Regulators ramp up focus on crypto
European authorities seek sound oversight for sector
- By: James Langton
- January 10, 2020 January 10, 2020
- 12:36
Retail investors face liquidity risks in alt funds: ESMA
Alternative fund categories with the highest proportion of retail investors are especially vulnerable
- By: James Langton
- January 10, 2020 January 10, 2020
- 12:00
FINRA preps for new “best interest” obligations
New conduct standards top SRO's compliance agenda
- By: James Langton
- January 9, 2020 January 9, 2020
- 13:25