Canadian, UK regulators to share sandbox
Regulators for several provinces announced an agreement with the FCA on Friday
- By: James Langton
- April 18, 2019 November 13, 2019
- 14:58
Latest news in From the Regulators
Reforms to boost market oversight set for adoption
The changes are to be phased in over two years, starting later this year
- By: James Langton
- April 18, 2019 November 13, 2019
- 14:05
IIROC gets thumbs-up from CSA oversight review
Report flagged only three "low priority" issues
- By: James Langton
- April 18, 2019 November 13, 2019
- 12:29
OSC sets agenda for red tape reduction consultation
Two open discussion sessions are scheduled for May
- By: James Langton
- April 18, 2019 November 13, 2019
- 10:55
Central bankers demand action on climate change
Their recommendations address environmental risks that also represent financial risks
- By: James Langton
- April 17, 2019 November 13, 2019
- 13:50
U.S. bank regulators to relax ‘living will’ requirements
Smaller firms would only have to submit resolution plans every three years
- By: James Langton
- April 17, 2019 November 13, 2019
- 11:47
TD Waterhouse accused of disclosure violations
IIROC claims firm failed to provide clients with position cost information in quarterly account statements
- By: James Langton
- April 16, 2019 November 13, 2019
- 14:57
U.S. authorities fine UniCredit US$1.3 billion over alleged sanctions violations
The bank allegedly processed more 2,000 payments that violated multiple sanctions
- By: James Langton
- April 15, 2019 November 13, 2019
- 14:38
Mandating cybersecurity standards is positive for financials, Moody’s says
Last week, European regulators called for tougher laws
- By: James Langton
- April 15, 2019 November 13, 2019
- 11:28
Former fund dealer facing fraud charge
The MFDA permanently banned the dealer in 2016
- By: James Langton
- April 15, 2019 November 13, 2019
- 10:51
MFDA fines, permanently bans former rep for falsifying client initials
Rep’s refusal to cooperate with investigation was deemed an aggravating factor
- By: IE Staff
- April 15, 2019 November 13, 2019
- 09:44
TSX invites innovators to play in its sandbox
The sandbox is intended to be a testing ground for the development of new policy initiatives
- By: James Langton
- April 12, 2019 November 13, 2019
- 17:00
GE paying US$1.5 billion over subprime loans
The U.S. DoJ alleged GE misrepresented the quality of the loans
- By: James Langton
- April 12, 2019 November 13, 2019
- 14:55
Industry applauds Ontario’s pledge to regulate planner, advisor titles
It remains to be seen what credentials the titles would require
- By: James Langton
- April 12, 2019 November 13, 2019
- 11:46
Ontario seeks to regulate planner, advisor titles while boosting market confidence
Proposed framework would require planners and advisors to have an "appropriate credential"
- By: James Langton
- April 11, 2019 November 13, 2019
- 16:56
OSFI finalizes revisions to banks’ liquidity, funding rules
The revisions take effect Jan. 1, 2020
- By: James Langton
- April 11, 2019 November 13, 2019
- 16:16
IIAC calls for reforms to CTO regime
The association is concerned about discount brokers' ability to manage the process
- By: James Langton
- April 11, 2019 November 13, 2019
- 16:00
FINTRAC warns financial firms about romance scams
Alert includes guidance to help financial firms identify possible victims
- By: James Langton
- April 11, 2019 November 13, 2019
- 12:20
OSFI sets limits on banks’ large exposures
Guidance sets expectations for how big banks manage the risk of large exposures to other firms
- By: James Langton
- April 11, 2019 November 13, 2019
- 11:45
MFDA flags KYC issues, concentration risks among reps
The SRO issued a report Wednesday analyzing data from its client research project
- By: James Langton
- April 10, 2019 November 13, 2019
- 15:43
Nova Scotia joins CCMR
Still no planned launch date for the project, which was supposed to begin in 2015
- By: James Langton
- April 10, 2019 November 13, 2019
- 14:52
IIROC allows exemptions for credit union reps
Agreements allow reps to receive compensation from credit unions for securities-related activities
- By: James Langton
- April 10, 2019 November 13, 2019
- 11:11
FINTRAC signs agreement with B.C. real estate regulator
This is the first memorandum with a real estate body
- By: James Langton
- April 9, 2019 November 13, 2019
- 17:17
Standard Chartered pays US$1.1 billion for sanctions violations
The U.K.'s Financial Conduct Authority found shortcomings in the bank's anti-money laundering controls
- By: James Langton
- April 9, 2019 November 13, 2019
- 12:11
U.S. regulators seek reforms to foreign banks’ capital rules
Proposed framework would reduce banks' capital requirements by about 0.5%
- By: James Langton
- April 8, 2019 November 13, 2019
- 14:53