CSA to ban DSCs everywhere but Ontario
Ontario is considering alternatives to a DSC ban, but will join the CSA in outlawing trailers for discount brokers
- By: James Langton
- December 19, 2019 December 19, 2019
- 10:00
Latest news in From the Regulators
SEC proposes to increase retail access to private markets
The proposal would expand the definition of accredited investor
- By: James Langton
- December 18, 2019 December 18, 2019
- 16:36
Regulators, industry step up efforts to replace LIBOR
The CFTC offers firms relief, while the FSB calls for more action
- By: James Langton
- December 18, 2019 December 18, 2019
- 14:46
CDS seeks to enhance liquidity arrangements
The changes aim to improve compliance with global standards
- By: James Langton
- December 18, 2019 December 18, 2019
- 14:15
Dealers can keep complaints electronically, IIROC says
SRO sets out "technology-neutral" stance to record retention
- By: James Langton
- December 18, 2019 December 18, 2019
- 12:46
U.K. central bank embarks on stress-testing climate risk
BoE warns that climate change will "affect the value of virtually every financial asset"
- By: James Langton
- December 18, 2019 December 18, 2019
- 11:12
FSB sets policy agenda for 2020
Fintech, regtech and LIBOR transition head the list
- By: James Langton
- December 17, 2019 December 17, 2019
- 13:47
U.S. broker, ex-CEO sanctioned for enabling client misconduct
The firm allowed market access to offshore market manipulators
- By: James Langton
- December 17, 2019 December 17, 2019
- 12:52
Standing up for bond market investors
IOSCO proposes guidance to deal with conflicts and conduct risks in debt underwriting
- By: James Langton
- December 16, 2019 December 16, 2019
- 16:42
Ex-Goldman banker settles SEC bribery charges
Former executive banned by SEC, ordered to pay US$43.7 million in disgorgement
- By: James Langton
- December 16, 2019 December 16, 2019
- 14:54
Industry supports regulatory reduction in letters to CSA
The comment period ended this week on proposals to eliminate certain disclosure requirements
- By: Michelle Schriver
- December 13, 2019 December 13, 2019
- 13:22
International regulators seek to sniff out leverage risks
IOSCO to start reporting on fund leverage in 2021
- By: James Langton
- December 13, 2019 December 13, 2019
- 13:15
Many U.S. investors in the dark on fees, performance: Report
Two-thirds of survey respondents failed basic quiz on investing
- By: James Langton
- December 12, 2019 December 12, 2019
- 15:47
Bank regulators mull capital, liquidity rules for crypto
A new discussion paper from the Basel Committee focuses on the emerging crypto space
- By: James Langton
- December 12, 2019 December 12, 2019
- 15:04
Ontario approves CSA’s client-focused reforms
Amendments include changes to suitability, know-your-client, conflict of interest and disclosure provisions
- By: James Langton
- December 12, 2019 December 12, 2019
- 14:25
CSA promises SRO review for 2020
Talk of merging the SROs has surfaced repeatedly over the years
- By: James Langton
- December 12, 2019 December 12, 2019
- 10:59
OSC oversight of syndicated mortgages delayed
The plan to transfer oversight of the sector was first announced in 2017
- By: James Langton
- December 11, 2019 December 11, 2019
- 12:11
NASAA calls for greater use of E&O insurance to enhance investor protection
Many clients aren't being paid after winning arbitration
- By: James Langton
- December 11, 2019 December 11, 2019
- 12:03
BCSC settles insider trading, tipping case
The case involved a man tipping his friend to his company's financial results before they became public
- By: James Langton
- December 11, 2019 December 11, 2019
- 09:36
HSBC settles U.S. tax evasion case
The Swiss private bank must pay more than US$190 million
- By: James Langton
- December 10, 2019 December 10, 2019
- 17:07
Regulators team up to supervise financial system plumbing
A new report examines cooperation to ensure the safety and efficiency of financial market infrastructures
- By: James Langton
- December 10, 2019 December 10, 2019
- 13:42
Bitcoin fraudster gets jail sentence
At least 14 investors were defrauded in a trading scheme
- By: James Langton
- December 10, 2019 December 10, 2019
- 12:06
Derivatives markets grow, ESMA reports
The growth was driven by increases in both interest rate derivatives and equities
- By: James Langton
- December 9, 2019 December 9, 2019
- 14:57
SEC sanctions pot stock promoter
The man allegedly failed to disclose that he was being paid to promote the company
- By: James Langton
- December 9, 2019 December 9, 2019
- 14:47
Time to revamp fund disclosure, IFIC says
The industry group said the CSA should revisit prospectus requirements
- By: James Langton
- December 9, 2019 December 9, 2019
- 12:50