U.S. broker sanctioned for failing to guard against market manipulation
FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients
- By: James Langton
- December 23, 2019 December 23, 2019
- 11:57
Latest news in From the Regulators
OSC alleges ex-CEO sought contact high from pot sector
The regulator says a company issued false press releases touting plans to enter the cannabis business
- By: James Langton
- December 20, 2019 December 20, 2019
- 16:21
Securities recidivist gets jail time
The offences involved unregistered dealing and illegal distribution
- By: James Langton
- December 20, 2019 December 20, 2019
- 14:51
Tipster gets $1 million payout from CFTC
The whistleblower reported misconduct to another agency and was still rewarded
- By: James Langton
- December 20, 2019 December 20, 2019
- 12:18
IIROC preps for client-focused reforms in 2020
Investor protection and industry innovation highlight the SRO's compliance priorities
- By: James Langton
- December 20, 2019 December 20, 2019
- 12:11
IFIC disappointed with CSA’s planned DSC ban
Industry trade group prefers harmonized national solution
- By: James Langton
- December 19, 2019 December 19, 2019
- 17:06
New Brunswick regulator names new CEO
The agency's current securities head takes the reins on Jan. 1
- By: James Langton
- December 19, 2019 December 19, 2019
- 16:56
Leveraged loan risk rising, but how much?
FSB report finds risks are growing, but a lack of data prevents a full assessment
- By: James Langton
- December 19, 2019 December 19, 2019
- 13:12
CSA to ban DSCs everywhere but Ontario
Ontario is considering alternatives to a DSC ban, but will join the CSA in outlawing trailers for discount brokers
- By: James Langton
- December 19, 2019 December 19, 2019
- 10:00
SEC proposes to increase retail access to private markets
The proposal would expand the definition of accredited investor
- By: James Langton
- December 18, 2019 December 18, 2019
- 16:36
Regulators, industry step up efforts to replace LIBOR
The CFTC offers firms relief, while the FSB calls for more action
- By: James Langton
- December 18, 2019 December 18, 2019
- 14:46
CDS seeks to enhance liquidity arrangements
The changes aim to improve compliance with global standards
- By: James Langton
- December 18, 2019 December 18, 2019
- 14:15
Dealers can keep complaints electronically, IIROC says
SRO sets out "technology-neutral" stance to record retention
- By: James Langton
- December 18, 2019 December 18, 2019
- 12:46
U.K. central bank embarks on stress-testing climate risk
BoE warns that climate change will "affect the value of virtually every financial asset"
- By: James Langton
- December 18, 2019 December 18, 2019
- 11:12
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
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