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
Latest news in From the Regulators
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
Scheme to dupe U.S. audit regulators ends in guilty plea
The charge stemmed from using confidential lists of audit reviews to enhance the firm's results
- By: James Langton
- October 4, 2019 November 13, 2019
- 16:32
CSA seeks to bolster CPAB’s access to offshore audit files
Comments are due Jan. 2
- By: James Langton
- October 3, 2019 November 13, 2019
- 13:13
Ending caveat emptor: CSA adopts client-focused reforms
The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients
- By: James Langton
- October 3, 2019 November 13, 2019
- 12:19
SEC to require exchanges to consult on fees
Fee changes would have to be submitted for comment and approved
- By: James Langton
- October 3, 2019 November 13, 2019
- 11:19
ESMA contemplates trading rule reforms
The regulatory agency has published a consultation paper on market abuse rules
- By: James Langton
- October 3, 2019 November 13, 2019
- 11:01
Post-crisis reforms still need work, IOSCO finds
Global group of securities regulators has updated reviews of reforms for money market funds and securitizations
- By: James Langton
- October 2, 2019 November 13, 2019
- 15:07
Inter-dealer brokers settle with U.S. authorities
The firms allegedly used phantom bids and false communication to increase trading activity
- By: James Langton
- October 2, 2019 November 13, 2019
- 14:59
RBC settles with CFTC over supervisory failures
Firm's traders believed that the exchange allowed the transactions in question
- By: James Langton
- October 2, 2019 November 13, 2019
- 13:04
Global banks enhance capital, liquidity positions
The Basel Committee on Banking Supervision released its latest assessment
- By: James Langton
- October 2, 2019 November 13, 2019
- 12:45