IOSCO details best practices for commodity storage
Global securities regulators working to improve operation of commodity derivatives markets
- By: James Langton
- February 7, 2019 November 13, 2019
- 12:08
Latest news in From the Regulators
Cold calling out, social media in, for investment fraudsters
Online scams are becoming more sophisticated, U.K. regulator warns
- By: James Langton
- February 6, 2019 November 13, 2019
- 13:18
OSC dismisses insider trading case against broker
At issue was whether the broker knew—or should have known—that a trading tip was based on inside information
- By: James Langton
- February 6, 2019 November 13, 2019
- 10:50
Shadow banking reaches record levels, FSB reports
Non-banks play a growing role in the financial system
- By: James Langton
- February 5, 2019 November 13, 2019
- 16:32
OSFI defends stress tests for borrowers
Regulator calls on mortgage brokers to help borrowers avoid making bad decisions
- By: James Langton
- February 5, 2019 November 13, 2019
- 14:05
FSRA proposes self-funding model
Regulator is making changes to the initial model to ease the transition for certain sectors
- By: James Langton
- February 5, 2019 November 13, 2019
- 11:17
Australia promises sweeping reform to address rampant industry misconduct
Scathing report discusses conflicts of interest, sales-focused compensation schemes and more
- By: James Langton
- February 4, 2019 November 13, 2019
- 12:31
FCA reforms aim to boost competition in asset management
The measures follow a review that found weak price competition
- By: James Langton
- February 4, 2019 November 13, 2019
- 11:44
Aequitas NEO’s lit book to be protected
The NEO book now accounts for 3.43% of trading
- By: James Langton
- January 31, 2019 November 13, 2019
- 14:54
Former MFDA rep fined $75K for unapproved referrals
The case is the last of four involving the sale of syndicated mortgages
- By: IE Staff
- January 31, 2019 November 13, 2019
- 12:43
Regulators open global sandbox
Pilot project is organized by group that includes regulators from around the world
- By: James Langton
- January 31, 2019 November 13, 2019
- 11:09
U.K. regulator urges effective stewardship
FCA releases two papers aimed at promoting sustainable, long-term investment
- By: James Langton
- January 30, 2019 November 13, 2019
- 13:11
MX seeks candidates for disciplinary committees
Applications are due March 1
- By: James Langton
- January 29, 2019 November 13, 2019
- 14:20
FINRA study finds performance issues with broker-affiliated ATS routing
Firms receive lower fill rates and higher trading costs
- January 29, 2019 November 13, 2019
- 11:00
FCA moves to improve investment outcomes for retirees
One-in-three retirees are unaware of where their money is invested, U.K. regulator finds
- January 28, 2019 November 13, 2019
- 14:45
OSC permanently bans convicted fraudster
Panel calls Michelle Dunk’s misconduct “extremely serious”
- By: James Langton
- January 25, 2019 November 13, 2019
- 17:10
ASC warns of “recovery room scheme”
Organization targets money losing investors
- By: The Canadian Press
- January 24, 2019 November 13, 2019
- 16:15
OSFI issues cybersecurity advisory to banks, insurers
Advisory outlines which security incidents should be reported and when
- By: James Langton
- January 24, 2019 November 13, 2019
- 14:35
Ontario man pleads guilty to violating trading ban
Activities with start-up a violation of 2011 order, OSC says
- By: James Langton
- January 24, 2019 November 13, 2019
- 12:50
OSFI decision to increase capital buffer for banks an effort to increase transparency
Banking regulator hopes future changes to the buffer will be seen as normal
- By: James Langton
- January 23, 2019 November 13, 2019
- 16:00
Regulators vital for well-functioning capital markets
CGFS report recommends policy measures for bolstering capital markets
- By: James Langton
- January 23, 2019 November 13, 2019
- 14:45
U.K. regulator consults on cryptoassets guidance
FCA consultation paper sets out which cryptoasset activities it regulates
- By: James Langton
- January 23, 2019 November 13, 2019
- 11:20
FINRA releases 2019 compliance exam priorities
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization
- January 22, 2019 November 13, 2019
- 14:45
Building confidence in digital assets
Proposed ATS would let retail clients trade digital assets within their existing brokerage accounts
- By: James Langton
- January 22, 2019 November 13, 2019
- 14:20
FSRA to focus on reducing regulatory burden
Ontario’s new insurance regulator releases draft priorities and budget
- By: James Langton
- January 22, 2019 November 13, 2019
- 11:45