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
Latest news in From the Regulators
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
Prepping for best interest standards
FINRA has developed resources to help firms comply with the SEC's new conduct rules
- By: James Langton
- October 8, 2019 November 13, 2019
- 16:01
Central bankers to study digital currency, blockchain
BIS to launch innovation hub in Switzerland
- By: James Langton
- October 8, 2019 November 13, 2019
- 13:54
ESMA finalizes anti-abuse arrangements
Arrangements have been submitted to the European Commission for final approval
- By: James Langton
- October 8, 2019 November 13, 2019
- 13:45
Industry complaints surge in Q2, OBSI reports
Complaints were 19% above average levels for the past eight quarters
- By: James Langton
- October 8, 2019 November 13, 2019
- 11:46
Extreme central banking
Two newly released reports find that central banks' extreme monetary policy measures were justified
- By: James Langton
- October 7, 2019 November 13, 2019
- 15:49
Exchanges argue against banning crypto derivatives
The WFE urges the FCA to "find the right balance"
- By: James Langton
- October 7, 2019 November 13, 2019
- 10:29