AMF seeks candidates for derivatives committee
Applications to join the committee are due by April 26
- By: James Langton
- March 26, 2019 November 13, 2019
- 17:23
Latest news in From the Regulators
Shadow banks grow, but risks modest, suggests Bank of Canada
In spite of the sector's growth, its share of bank assets and total financial assets has declined
- By: James Langton
- March 26, 2019 November 13, 2019
- 12:31
SEC pays US$50 million to whistleblowing pair
One tipster received US$37 million, while the other got US$13 million
- By: James Langton
- March 26, 2019 November 13, 2019
- 11:45
Click to sign: IIROC OKs e-signatures
Guidance is effective immediately
- By: James Langton
- March 26, 2019 November 13, 2019
- 11:10
OSC charges real estate firm with registration, prospectus violations
A hearing has been scheduled for March 28 to consider a possible settlement with the firm
- By: James Langton
- March 25, 2019 November 13, 2019
- 13:38
The rise of indexing, robos and crypto top IOSCO agenda
The umbrella group of global regulators outlined its plans for the coming year on Monday
- By: James Langton
- March 25, 2019 November 13, 2019
- 12:22
OSC warns about unregistered trading platform
Investors in Ontario are being actively solicited
- By: James Langton
- March 22, 2019 November 13, 2019
- 15:11
New IIROC report identifies challenges
Project is a "first answer to what will be a series of questions" about regulatory barriers
- By: Katie Keir
- March 22, 2019 November 13, 2019
- 11:10
Former U.S. hedge fund manager sentenced in hacking scheme
The scheme involved stealing press releases containing corporate earnings
- By: James Langton
- March 22, 2019 November 13, 2019
- 10:43
OSFI’s Rogers to head Basel Committee secretariat
Carolyn Rogers begins her three-year term as secretary general on August 14
- By: James Langton
- March 22, 2019 November 13, 2019
- 10:09
OSC hearing on Bitcoin fund set for April
3iQ Corp seeks to overturn a decision denying approval of the fund
- By: James Langton
- March 21, 2019 November 13, 2019
- 14:58
MFDA seeks changes to its investigative powers
The proposals would harmonize rules with IIROC
- By: James Langton
- March 21, 2019 November 13, 2019
- 12:13
Global banks making headway on Basel III
New report finds large global banks are continuing to build up their capital and liquidity positions
- By: James Langton
- March 20, 2019 November 13, 2019
- 11:59
CPAB names new chair, vice chair
Benita Warmbold is the first woman to head the audit regulator's board
- By: James Langton
- March 19, 2019 November 13, 2019
- 12:25
FCA fines UBS £27.6 million for reporting failures
The banking giant was fined for failings involving 135.8 million transaction reports
- By: James Langton
- March 19, 2019 November 13, 2019
- 12:04
Fund manager asks OSC for public debate on Bitcoin fund
3iQ argues the regulator set tougher standards for its fund in terms of valuation, custody and liquidity
- By: James Langton
- March 19, 2019 November 13, 2019
- 11:15
Fund dealers face more phishing
MFDA warns dealers not to click on links in suspicious emails
- By: James Langton
- March 18, 2019 November 13, 2019
- 17:38
MX seeks candidates for disciplinary committees
Members would hear complaints and make decisions regarding settlement offers
- By: James Langton
- March 18, 2019 November 13, 2019
- 12:13
FDIC settles with PwC over bank that failed in 2009
Alabama-based Colonial Bank had acquired hundreds of millions of dollars worth of fraudulent mortgages
- By: James Langton
- March 15, 2019 November 13, 2019
- 14:12
CSA provides guidance to trading venues on reporting systems failures
The guidance outlines the types of incidents that must be reported, and what reports should include
- By: James Langton
- March 15, 2019 November 13, 2019
- 13:41
CSA proposes tweaks to syndicated mortgage reforms
The new proposals set out registration and prospectus exemptions in several provinces
- By: James Langton
- March 15, 2019 November 13, 2019
- 13:12
SEC charges Volkswagen, former CEO with defrauding investors
The charges come two years after the automaker settled with the U.S. over criminal and civil charges
- By: The Associated Press
- March 15, 2019 November 13, 2019
- 11:44
MFDA seeks governance reforms
The SRO said the proposed changes would enhance the independence of its governance committee
- By: James Langton
- March 14, 2019 November 13, 2019
- 16:30
Hong Kong regulators hit underwriters with hefty fines
Four investment firms cited for lax due diligence efforts
- By: James Langton
- March 14, 2019 November 13, 2019
- 15:56
CSA proposes rule to prevent manipulation of benchmarks
Regulator says misconduct has "led to significant negative impacts"
- By: James Langton
- March 14, 2019 November 13, 2019
- 15:33