MFDA mulls feedback on CE program
SRO develops accreditation process amid divergent industry reaction
- By: James Langton
- January 31, 2020 January 31, 2020
- 14:00
Latest news in From the Regulators
Fund rep sanctioned for misappropriating client funds
Rep admitted gambling away money taken from clients
- By: James Langton
- January 31, 2020 January 31, 2020
- 09:42
SEC proposes disclosure reforms
Changes are designed to make financial statements more useful for investors and ease compliance for companies
- By: James Langton
- January 30, 2020 January 30, 2020
- 16:49
IIROC board adds former Nova Scotia public sector exec
Victoria Harnish will serve a two-year term
- By: IE Staff
- January 30, 2020 January 30, 2020
- 14:35
Debt fears rising among global regulators
A decline in credit quality has been added to IOSCO's menu of concerns
- By: James Langton
- January 30, 2020 January 30, 2020
- 14:24
Financial sector bracing for Brexit
The U.K. bows out on Jan. 31, kicking off the transition
- By: James Langton
- January 30, 2020 January 30, 2020
- 12:59
Asset managers must adopt FX code: BIS
Central bankers call for improvements and broader adoption of the FX Global Code
- By: James Langton
- January 30, 2020 January 30, 2020
- 12:20
Fund dealers need a path to selling alt funds: AIMA
The industry group is calling on regulators to develop a proficiency regime for fund reps
- By: James Langton
- January 30, 2020 January 30, 2020
- 11:33
OSC suspends exempt market dealer for filing failures
The regulator found the firm breached registration rules by repeatedly missing deadlines
- By: James Langton
- January 28, 2020 January 28, 2020
- 16:27
HFT costs global markets US$5 billion annually, FCA research finds
Researchers used message data to calculate the cost of latency arbitrage
- By: James Langton
- January 28, 2020 January 28, 2020
- 13:24
Fund dealer exec sentenced for fraud
The former head of W.H. Stuart Mutuals Ltd. was also ordered to pay restitution
- By: James Langton
- January 28, 2020 January 28, 2020
- 11:26
U.S. regulators charge advisory firm and fund manager with breaches
Fund suffered massive losses amid risk management failures, SEC and CFTC allege
- By: James Langton
- January 27, 2020 January 27, 2020
- 16:41
Boosting the industry’s cyber defences
An SEC report details the results of thousands of compliance exams
- By: James Langton
- January 27, 2020 January 27, 2020
- 14:44
Accounting firm to pay $3.5 million for substandard audits of Crystal Wealth
A portion of the settlement agreement with the OSC will go to defrauded investors
- By: Greg Dalgetty
- January 24, 2020 January 24, 2020
- 15:56
MFDA sets compliance agenda for 2020
New compliance targets have emerged from the SRO's data analysis efforts
- By: James Langton
- January 23, 2020 January 23, 2020
- 15:49
Fraud tipsters help recover investor assets, SEC says
Whistleblowers "crucial" in protecting retail investors
- By: James Langton
- January 23, 2020 January 23, 2020
- 15:28
CSA ready for trading fee rebate study, but only if SEC follows
Pilot study would examine the effects of banning trading fee rebates
- By: James Langton
- January 23, 2020 January 23, 2020
- 12:05
Brokerage firm sanctioned for supervisory failures
Firm failed to question sales on risky exempt securities to certain clients
- By: James Langton
- January 23, 2020 January 23, 2020
- 11:16
Manitoba mortgage rep charged over alleged senior abuse
Elderly Winnipeg widow reportedly bilked by ex-securities rep
- By: James Langton
- January 23, 2020 January 23, 2020
- 11:11
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
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