Senior clients need more from financial firms: report
OBSI finds seniors complain the most about mutual funds, disclosure issues
- By: James Langton
- July 18, 2019 November 13, 2019
- 13:16
Latest news in From the Regulators
IOSCO pushes back on criticism
The group has been critiqued on its approach to investment fund regulation
- By: James Langton
- July 18, 2019 November 13, 2019
- 10:58
Second man charged in alleged Ponzi scheme
Toronto police announced the arrest of a second man on Wednesday
- By: James Langton
- July 17, 2019 November 13, 2019
- 16:21
Investor cost disclosure under the microscope
ESMA is seeking feedback on disclosure requirements
- By: James Langton
- July 17, 2019 November 13, 2019
- 12:51
FINRA’s fight against mutual fund overcharging leads to investor restitution
Settlements generate US$89 million in restitution
- By: James Langton
- July 17, 2019 November 13, 2019
- 10:47
Brokerage account hacks enabled market manipulation, U.S. authorities say
Defendant pleads guilty to his role in the scheme
- By: James Langton
- July 16, 2019 November 13, 2019
- 16:10
BCSC alleges woman violated trading ban
Woman was permanently banned and ordered to pay $2.24 million in 2017
- By: James Langton
- July 16, 2019 November 13, 2019
- 13:55
U.S. brokerage to repay institutional clients misled by its traders
Firm agrees to repay fund manager clients US$25M and pay US$1.5M in penalties
- By: James Langton
- July 15, 2019 November 13, 2019
- 12:37
Toronto police announce charges in alleged Ponzi scheme
Police allege investors were defrauded of $955,980
- By: James Langton
- July 15, 2019 November 13, 2019
- 10:54
Market data costs resisting reform, ESMA says
Analysis shows prices remain too high — and new fees have emerged
- By: James Langton
- July 12, 2019 November 13, 2019
- 11:34
Investment firms dodging restrictions on CFD trading, ESMA warns
Regulators say firms are using a number of methods to skirt the rules
- By: James Langton
- July 12, 2019 November 13, 2019
- 10:57
IIROC proposes revisions to CE program
Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26
- By: James Langton
- July 11, 2019 November 13, 2019
- 16:10
FSB surveys firms on coming back from cyberattacks
Group says responses will be used to help develop best practices
- By: James Langton
- July 11, 2019 November 13, 2019
- 14:22
FINRA provides guidance on enforcement cooperation
SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation
- By: James Langton
- July 11, 2019 November 13, 2019
- 13:08
OSFI proposes tailored capital rules for smaller banks
The regulator is seeking feedback on possible revisions to the capital regime
- By: James Langton
- July 11, 2019 November 13, 2019
- 12:45
OSC denies former rep’s appeal of IIROC disciplinary ruling
Applicant argued that an IIROC panel erred in its findings
- By: James Langton
- July 10, 2019 November 13, 2019
- 17:21
Synthetic identity theft is the fastest-growing financial crime, U.S. Fed warns
Crime involves using real and fake information to craft an identity
- By: James Langton
- July 10, 2019 November 13, 2019
- 15:42
U.S. regulators propose reduced margin requirements for security futures
Proposal seeks to reduce minimum requirement to 15% of current market value
- By: James Langton
- July 10, 2019 November 13, 2019
- 11:52
Fed eases banks’ regulatory burden
New rule simplifies the capital treatment for certain assets and investments
- By: James Langton
- July 9, 2019 November 13, 2019
- 16:19
Industry innovation complicates cross-border oversight, European regulators say
Regulatory issues abound in increasingly borderless financial markets
- By: James Langton
- July 9, 2019 November 13, 2019
- 14:13
Cryptoasset custody compliance challenges brokers and regulators alike
The SEC and FINRA issued a joint statement addressing digital securities on Monday
- By: James Langton
- July 8, 2019 November 13, 2019
- 16:08
MX proposes new fortification against fat finger trades
Comments are due by Aug. 16
- By: James Langton
- July 8, 2019 November 13, 2019
- 15:42
Investor advocates push back on IIROC enforcement plans
FAIR Canada is concerned that the offenders would not be publicly identified
- By: James Langton
- July 5, 2019 November 13, 2019
- 15:19
Retail customers still come second to firms’ interests, EBA report finds
Report examines the financial industry's implementation of new requirements
- By: James Langton
- July 5, 2019 November 13, 2019
- 11:21
Former Deutsche Bank trader acquitted in benchmark rigging case
Charges stemmed from an alleged attempt to influence the EURIBOR benchmark
- By: James Langton
- July 5, 2019 November 13, 2019
- 10:56