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
Latest news in From the Regulators
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
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