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Fed eases banks’ regulatory burden

New rule simplifies the capital treatment for certain assets and investments

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Industry innovation complicates cross-border oversight, European regulators say

Regulatory issues abound in increasingly borderless financial markets

Cryptoasset custody compliance challenges brokers and regulators alike

The SEC and FINRA issued a joint statement addressing digital securities on Monday

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MX proposes new fortification against fat finger trades

Comments are due by Aug. 16

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Investor advocates push back on IIROC enforcement plans

FAIR Canada is concerned that the offenders would not be publicly identified

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Retail customers still come second to firms’ interests, EBA report finds

Report examines the financial industry's implementation of new requirements

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Former Deutsche Bank trader acquitted in benchmark rigging case

Charges stemmed from an alleged attempt to influence the EURIBOR benchmark

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BCSC panel hands down penalties for improper referrals in a split decision

One panel member argued disgorgement was not "in the public interest"

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Rules for Canadian banks up to snuff, Basel Committee finds

Report finds Canada's banking system is compliant with global standards

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Scammers utilize social media, CFTC warns

Advisory highlights ways to identify fraudulent social media profiles

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OSC seeks new members for investor advocacy group

Applications are due Aug. 19

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Crypto derivatives too dangerous for retail investors, FCA declares

The regulator proposed a ban on Wednesday

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Big global banks meeting tougher capital demands, FSB finds

Report finds banks are meeting — or exceeding — their target requirements


Tipsters garner US$2-million award from the CFTC

The duo provided "significant information" that led to an investigation

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Central bankers set up innovation hub

The hub will study fintech trends that impact central banking, among other matters

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Europe’s regulators adopt permanent curbs on risky retail trading in CFDs, binary options

Move aimed at protecting consumers from unsuitable investments

New guidance from OSFI on derivatives margin requirements

Firms won't be required to apply margin requirements for amendments to existing derivatives

Big banks, feds launch group to lead systemic threat response

Canadian Financial Sector Resiliency Group will launch in August

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Former planner disciplined over failed investment scheme

The ASC ordered a permanent ban, $400K fine and millions in disgorgement

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SEC settles with State Street for inflating expenses charged to mutual funds

Settlement includes US$48.8 million in disgorgement and a US$40 million civil penalty

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ASC looks to kickstart Alberta’s venture markets

Regulator seeks to boost market activity following declines in energy sector

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OSC scraps pointless cost for fund managers

Decision is effective immediately

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FSRA to lead advisor title reform, while OSC works on other reforms

The OSC released its statement of priorities for 2019-2020 on Thursday

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Court denies investor class action against a former rep

IIROC permanently banned the former rep and fined him $450,000 in 2018

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Enforcement sanctions up, caseload down, CSA reports

The CSA imposed $77.5 million in fines and administrative penalties last year