The goal is to improve preparedness and resilience to financial risks and to ensure capital and liquidity rules remain appropriate for smaller organizations
U.S. regulator alleges convicted Portus co-founder used a fake identity to raise more than US$30 million from investors
With the concept of a national regulator in limbo, the CSA plans to review the self-regulatory structure
Allegations include improper personal financial dealings and misleading investigators
Regulators set out when trading platforms are subject to securities law
U.K. authorities set deadlines for move away from troubled benchmark
The group first proposed adopting UTC to enhance market oversight back in September
Firm gave employees trading access without approval
IIROC says the advisor failed to learn “essential facts” about a client
So-called IEOs may be rife with the same misconduct associated with ICOs
The regulator alleges he breached an order imposed in a settlement agreement
The global group of central banks has announced new emerging market members
The guidance overhaul follows a plain-language rulebook rewrite
European banking regulators examine the industry's use of "big data"
Proposed guidance sets out supervisory plans for DB pensions with solvency concerns
Exchange seeks to guard against excess volatility in early-morning trading
European authorities seek sound oversight for sector
Alternative fund categories with the highest proportion of retail investors are especially vulnerable
New conduct standards top SRO's compliance agenda
New paper argues benefits of “access equals delivery” model for online disclosure
The former fund rep failed to co-operate in an MFDA investigation into falsified loan applications
Help clients spot these common investment traps
Retail investor issues, as well as registered investment advisors, will be under scrutiny
U.K. regulators seek to enhance oversight and reduce burdens with data and technology
A study finds that halts curb wild trading, but cause spreads to surge