New bill will give greater penalty powers to ASIC
Australian regulator gets enhanced enforcement capabilities
- By: James Langton
- February 15, 2019 November 13, 2019
- 11:00
Latest news in From the Regulators
Regulators reach agreement on cross-border enforcement
Ruling to enable sharing of data is first of its kind
- By: James Langton
- February 15, 2019 November 13, 2019
- 09:46
Tech giants are a bigger threat than fintechs, FSB warns
BigTech firms could achieve scale very quickly in financial services, says a new report
- By: James Langton
- February 14, 2019 November 13, 2019
- 16:50
Court upholds former rep’s fraud conviction, hikes fine
Trial court found in 2016 that Roger Schoer defrauded several friends and clients of more than $400,000
- By: James Langton
- February 14, 2019 November 13, 2019
- 14:56
FINRA bolsters its cybersecurity guidance
A new report is part of an effort to strengthen cybersecurity at brokerages, particularly small dealers
- By: James Langton
- February 13, 2019 November 13, 2019
- 13:42
U.S. state AGs oppose “regulatory sandbox”
21 attorneys general want the CFPB to drop proposals
- By: James Langton
- February 13, 2019 November 13, 2019
- 10:36
FSB scanning for new threats
International group cites shadow banking, rapid industry innovation and cybersecurity breaches as potential risks
- By: James Langton
- February 12, 2019 November 13, 2019
- 13:53
Former fund rep fined, banned for fleecing widow
"The respondent took advantage of her. The facts are shocking," an MFDA panel said
- By: James Langton
- February 12, 2019 November 13, 2019
- 11:24
IOSCO review finds gaps in trading oversight, mostly in emerging markets
Report looks at 40 jurisdictions
- By: James Langton
- February 12, 2019 November 13, 2019
- 10:01
Reducing the burden, but fairly
Can policy-makers lighten regulation and still protect investors?
- By: James Langton
- February 12, 2019 November 13, 2019
- 00:21
Fund rep fined, banned for involving clients in his side hustle
The MFDA alleged the rep launched a coffee business with a client and solicited investments in the business from several others
- By: James Langton
- February 11, 2019 November 13, 2019
- 11:50
OSFI examines banks’ funding risks
Regulator introduces new disclosure requirements for banks that have been deemed systemically important to Canada's financial system
- By: James Langton
- February 11, 2019 November 13, 2019
- 11:35
OSFI seeks to toughen liquidity rules
Changes are out for comment until March 15
- By: James Langton
- February 8, 2019 November 13, 2019
- 12:33
FINTRAC releases AML compliance tools
Includes methodology for calculating penalties
- By: James Langton
- February 8, 2019 November 13, 2019
- 08:51
MFDA warns dealers about KYC failings
Compliance exams uncover an inappropriate one-size-fits-all approach
- By: James Langton
- February 7, 2019 November 13, 2019
- 13:57
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
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