Ex-banker gets two years in jail for tipping dad
The man tipped his father to five forthcoming M&A deals
- By: James Langton
- December 5, 2019 December 5, 2019
- 14:05
Latest news in From the Regulators
European regulators recommend consolidated equity tape
ESMA also promises legislative changes to address market data costs
- By: James Langton
- December 5, 2019 December 5, 2019
- 13:24
Financial firms must prep for calamity, U.K. policymakers insist
Regulators introduce proposed requirements to strengthen resilience in the financial sector
- By: James Langton
- December 5, 2019 December 5, 2019
- 12:05
Pump and dump in Germany results in Ontario ban
The case involves a B.C. resident
- By: James Langton
- December 5, 2019 December 5, 2019
- 09:59
Long-time fund rep banned, fined for loans from vulnerable clients
The former rep borrowed more than $100,000 from clients
- By: James Langton
- December 4, 2019 December 4, 2019
- 10:55
OSC should have blanket order powers, IIAC says
Currently, the OSC is the only provincial regulator that can't issue blanket orders
- By: James Langton
- December 3, 2019 December 3, 2019
- 11:13
Regulatory challenges for the year ahead
In 2020, regulators will grapple with harmonization, tech and climate change, predicted speakers at the Toronto Refinitiv Summit
- By: Michelle Schriver
- December 2, 2019 December 2, 2019
- 15:29
FINRA enhances OTC market transparency
New data sheds light on OTC trading that takes place outside of alternative trading systems
- By: James Langton
- December 2, 2019 December 2, 2019
- 14:37
MFDA firms approve rule changes at AGM
The MFDA's auditors and directors were also approved at the meeting
- By: James Langton
- December 2, 2019 December 2, 2019
- 11:41
IIAC calls for rethink on defining in-house accounts
The association says an IIROC proposal should apply only to employees directly involved in client dealings
- By: James Langton
- November 29, 2019 November 29, 2019
- 14:31
G20 reforms curbed lending, but still worth it, FSB finds
Small and medium-sized enterprise financing was relatively unharmed
- By: James Langton
- November 29, 2019 November 29, 2019
- 11:10
FCA sets conduct rules for benchmark operators
Comments on the proposals are sought by Feb. 28, 2020
- By: James Langton
- November 29, 2019 November 29, 2019
- 10:36
10 important compliance rules to review
Reviewing common disciplinary actions can help protect your practice
- By: Mark Burgess
- November 28, 2019 November 28, 2019
- 16:10
OSC signs MoU with Dutch regulator
Agreement aims to bolster investor protection and maintain market confidence
- By: James Langton
- November 28, 2019 November 28, 2019
- 16:03
Market, credit risks remain high, ESMA warns
Markets remain sensitive to Brexit and U.S.-China trade tensions
- By: James Langton
- November 28, 2019 November 28, 2019
- 13:30
ASIC review finds pervasive fee disclosure failings, overcharging
A review suggests most fee disclosure is incomplete — and some fees aren't disclosed at all
- By: James Langton
- November 28, 2019 November 28, 2019
- 13:18
Basel Committee proposes capital rule changes
A consultation paper details proposed changes to the CVA risk framework
- By: James Langton
- November 28, 2019 November 28, 2019
- 12:18
FSRA’s draft priorities build on business plan
The draft statement includes details on title protection framework
- By: IE Staff
- November 27, 2019 November 27, 2019
- 14:44
U.S. hedge fund exec gets jail time in US$100 million mismarking scheme
The former CEO was given a 50-month sentence after inflating funds' net asset value
- By: James Langton
- November 27, 2019 November 27, 2019
- 10:39
Bank regulators target specific risks with capital tool
Sectoral buffer could be used to address a bank's exposure to specific risks
- By: James Langton
- November 27, 2019 November 27, 2019
- 10:38
Court finds ex-advisor liable for client’s loss
The client invested $2 million in the former advisor's business, which failed
- By: James Langton
- November 26, 2019 November 26, 2019
- 15:09
CFTC steps up its enforcement efforts in 2019
Fines, restitution and disgorgement awards were up 39% from the previous year
- By: James Langton
- November 26, 2019 November 26, 2019
- 12:27
FCA bans sale of risky, complex vehicles to retail investors
Effective Jan. 1, "mini-bonds" cannot be marketed to retail investors in the U.K.
- By: James Langton
- November 26, 2019 November 26, 2019
- 11:47
Citi hit with record U.K. fine for regulatory reporting failures
The banking giant resolved the case for £43.9 million
- By: James Langton
- November 26, 2019 November 26, 2019
- 11:15