Fintech research unit founded by AMF, Finance Montréal
UQAM professor Richard Guay will chair the scientific committee
- By: James Langton
- October 22, 2019 November 13, 2019
- 12:55
Latest news in From the Regulators
BCSC gets beefed up enforcement powers in securities law overhaul
The reforms represent the most extensive amendments to the province's securities laws since the legislation was introduced in 1996
- By: James Langton
- October 21, 2019 November 13, 2019
- 20:20
No more LIBOR charges, U.K.’s SFO declares
The EURIBOR investigation remains open
- By: James Langton
- October 21, 2019 November 13, 2019
- 15:42
Banned reps churned out millions from vulnerable client, FINRA finds
More than 2,800 trades were placed in the accounts of a client with a severe impairment
- By: James Langton
- October 21, 2019 November 13, 2019
- 11:40
ESMA, ASIC cooperate on benchmark oversight
The two groups have signed a memorandum of understanding
- By: James Langton
- October 21, 2019 November 13, 2019
- 11:24
Fund rep’s ‘egregious’ misconduct harms clients, capital markets, MFDA panel says
The former rep has been permanently banned and ordered to pay more than $1.6 million
- By: James Langton
- October 21, 2019 November 13, 2019
- 11:18
IIROC fines firm $50K for non-compliant order-execution procedure
The procedure was contrary to the order-exposure rule
- By: Michelle Schriver
- October 18, 2019 November 13, 2019
- 16:42
SEC seeks solutions for thinly traded stocks
Weak trading volume can have multiple negative impacts
- By: James Langton
- October 17, 2019 November 13, 2019
- 16:22
MX launches new training requirement
Starting Nov. 1, aspiring derivatives traders must complete a course and pass an exam
- By: James Langton
- October 17, 2019 November 13, 2019
- 14:47
10 years on, more to be done on G20 reforms, FSB says
A new report evaluates the implementation of post-crisis reforms
- By: James Langton
- October 17, 2019 November 13, 2019
- 09:35
Sprucing up Europe’s disclosure rules
Proposed reforms aim to address regulators' concerns, including disclosure of investment costs
- By: James Langton
- October 16, 2019 November 13, 2019
- 17:08
Traders in China manipulated U.S. stocks, SEC alleges
Eighteen traders generated at least US$31 million in illicit profits, regulator says
- By: James Langton
- October 16, 2019 November 13, 2019
- 16:58
FCA promises action to promote sustainable finance
The regulator set out a series of proposals in a paper published Wednesday
- By: James Langton
- October 16, 2019 November 13, 2019
- 12:49
U.S. brokers sanitizing disciplinary records, investor group says
New report says expungements are being granted "as a matter of course"
- By: James Langton
- October 15, 2019 November 13, 2019
- 14:57
OTC derivatives reform stalls, FSB reports
A report says there's been limited implementation in the past year
- By: James Langton
- October 15, 2019 November 13, 2019
- 11:52
Audit scammer sent to slammer
Former audit regulator gets jail time for scheme to game inspections
- By: James Langton
- October 11, 2019 November 13, 2019
- 15:26
Digital assets face anti-money laundering rules too
U.S. regulators stress that the digital asset sector faces AML obligations
- By: James Langton
- October 11, 2019 November 13, 2019
- 12:40
FCA sanctions inter-dealer broker for supervisory failings
Firm fined £15.4 million for its misconduct
- By: James Langton
- October 11, 2019 November 13, 2019
- 12:03
Data gap threatens stability: report
Initiative to improve oversight of the financial sector through data collection was launched in 2009
- By: James Langton
- October 11, 2019 November 13, 2019
- 11:38
Fed eases capital, liquidity demands on safer banks
Firms in highest-risk categories must still adhere to stricter rules
- By: James Langton
- October 10, 2019 November 13, 2019
- 16:55
Financial literacy lagging, FINRA finds
Retail investors' knowledge is "alarmingly low," according to report
- By: James Langton
- October 10, 2019 November 13, 2019
- 12:42
Investment dealers must own their mistakes, IIROC says
The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability
- By: James Langton
- October 10, 2019 November 13, 2019
- 10:57
SEC establishes new advisory committee
Edward Bernard will serve as chair
- By: James Langton
- October 9, 2019 November 13, 2019
- 15:33
Global regulators develop OTC data oversight
Efforts designed to enable regulators to better assess systemic risk
- By: James Langton
- October 9, 2019 November 13, 2019
- 11:30
Industry demands voice on CSA systems reno
Trade groups want to be consulted as the CSA overhauls its electronic filing systems
- By: James Langton
- October 9, 2019 November 13, 2019
- 10:31