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
Latest news in From the Regulators
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
FCA expands rules to enhance financial industry ethics
The rules now apply to an additional 47,000 firms
- By: James Langton
- December 9, 2019 December 9, 2019
- 11:45
Rise of the machines: BigTech poses risks to financial system, FSB says
A report warns BigTech firms may "dominate, rather than diversify" financial services
- By: James Langton
- December 9, 2019 December 9, 2019
- 11:37
KYC, suitability failures justify ban, MFDA panel rules
The panel said the penalty proposed in the case is "necessary and sufficient" to serve as a deterrent
- By: James Langton
- December 9, 2019 December 9, 2019
- 08:58
Digital wealth management platform enhances executive team
The fintech D1g1t Inc. hires Andrew Aziz and Kian Rafia
- By: IE Staff
- December 6, 2019 December 6, 2019
- 12:07
FSRA aims to ease disclosure burden for certain investors
Mortgage brokers can provide shorter disclosure forms to "sophisticated" investors
- By: James Langton
- December 5, 2019 December 5, 2019
- 17:09
OSFI finalizes enhanced liquidity risk guidance
Updated guidance takes effect Jan. 1, 2020
- By: James Langton
- December 5, 2019 December 5, 2019
- 15:03