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
Latest news in From the Regulators
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
BCSC panel hands down penalties for improper referrals in a split decision
One panel member argued disgorgement was not "in the public interest"
- By: James Langton
- July 4, 2019 November 13, 2019
- 14:08
Rules for Canadian banks up to snuff, Basel Committee finds
Report finds Canada's banking system is compliant with global standards
- By: James Langton
- July 4, 2019 November 13, 2019
- 12:45
Scammers utilize social media, CFTC warns
Advisory highlights ways to identify fraudulent social media profiles
- By: James Langton
- July 3, 2019 November 13, 2019
- 12:41
OSC seeks new members for investor advocacy group
Applications are due Aug. 19
- By: James Langton
- July 3, 2019 November 13, 2019
- 10:42
Crypto derivatives too dangerous for retail investors, FCA declares
The regulator proposed a ban on Wednesday
- By: James Langton
- July 3, 2019 November 13, 2019
- 10:29
Big global banks meeting tougher capital demands, FSB finds
Report finds banks are meeting — or exceeding — their target requirements
- By: James Langton
- July 2, 2019 November 13, 2019
- 14:52
Tipsters garner US$2-million award from the CFTC
The duo provided "significant information" that led to an investigation
- By: James Langton
- July 2, 2019 November 13, 2019
- 11:54
Central bankers set up innovation hub
The hub will study fintech trends that impact central banking, among other matters
- By: James Langton
- July 2, 2019 November 13, 2019
- 11:50
New guidance from OSFI on derivatives margin requirements
Firms won't be required to apply margin requirements for amendments to existing derivatives
- By: James Langton
- June 28, 2019 November 13, 2019
- 10:29
Big banks, feds launch group to lead systemic threat response
Canadian Financial Sector Resiliency Group will launch in August
- By: James Langton
- June 28, 2019 November 13, 2019
- 10:05
Former planner disciplined over failed investment scheme
The ASC ordered a permanent ban, $400K fine and millions in disgorgement
- By: James Langton
- June 27, 2019 November 13, 2019
- 15:15
SEC settles with State Street for inflating expenses charged to mutual funds
Settlement includes US$48.8 million in disgorgement and a US$40 million civil penalty
- By: James Langton
- June 27, 2019 November 13, 2019
- 14:18
ASC looks to kickstart Alberta’s venture markets
Regulator seeks to boost market activity following declines in energy sector
- By: James Langton
- June 27, 2019 November 13, 2019
- 13:19
OSC scraps pointless cost for fund managers
Decision is effective immediately
- By: James Langton
- June 27, 2019 November 13, 2019
- 11:24
FSRA to lead advisor title reform, while OSC works on other reforms
The OSC released its statement of priorities for 2019-2020 on Thursday
- By: James Langton
- June 27, 2019 November 13, 2019
- 11:22
Court denies investor class action against a former rep
IIROC permanently banned the former rep and fined him $450,000 in 2018
- By: James Langton
- June 26, 2019 November 13, 2019
- 15:57
Enforcement sanctions up, caseload down, CSA reports
The CSA imposed $77.5 million in fines and administrative penalties last year
- By: James Langton
- June 26, 2019 November 13, 2019
- 12:17
New head named for FCAC
Former OSC commissioner to begin five-year term in August
- By: James Langton
- June 25, 2019 November 13, 2019
- 14:30
IMF sees downside risk, need to bolster Canada’s systemic risk oversight
New report looks at the country's economic risks
- By: James Langton
- June 25, 2019 November 13, 2019
- 11:36