SEC proposes transaction fee pilot program
U.S. securities regulators are planning to test trading fee limits
- By: James Langton
- March 14, 2018 November 13, 2019
- 16:10
Latest news in From the Regulators
MFDA calls for nominations to regional councils
The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings
- By: James Langton
- March 14, 2018 November 13, 2019
- 15:15
FCA publishes paper on transforming culture in financial services
The industry’s culture is a priority for the U.K. regulator given its impact, and the role that it must play in re-building trust in financial…
- By: James Langton
- March 12, 2018 November 13, 2019
- 15:15
OSC denies registration to aspiring mutual fund rep
The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail
- By: James Langton
- March 12, 2018 November 13, 2019
- 14:50
IOSCO seeks to protect senior investors
Aging investors seen as particularly vulnerable to financial fraud, unsuitable investments and other risks
- By: James Langton
- March 12, 2018 November 13, 2019
- 14:00
OSC, German regulators sign deal on oversight of central counterparties
The agreement establishes a framework for consultation, co-operation and information-sharing between the OSC, BaFin, and the Bundesbank
- By: James Langton
- March 8, 2018 November 13, 2019
- 16:05
IIROC proposes changes to debt transaction reporting requirements
The proposals would reduce the reporting deadlines and increase the amount of data that are collected
- By: James Langton
- March 8, 2018 November 13, 2019
- 14:59
CSA to step up rules on syndicated mortgages
The aim is to reduce the risks related to these products, which are financing highly speculative projects
- By: James Langton
- March 8, 2018 November 13, 2019
- 12:27
European Commission focusing on fintech development
A new action plan introduces new rules to encourage the growth of crowdfunding as well as a host of other measures
- By: James Langton
- March 8, 2018 November 13, 2019
- 11:07
SEC warns of trading digital assets on unregistered, online platforms
The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not
- By: James Langton
- March 7, 2018 November 13, 2019
- 16:10
Regulators address extreme market volatility
Extreme volatility can “weaken market integrity and reduce investor confidence,” IOSCO says
- By: James Langton
- March 7, 2018 November 13, 2019
- 11:16
Three NYSE exchanges reach US$14-million settlement with the SEC
NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations
- By: James Langton
- March 6, 2018 November 13, 2019
- 15:50
B.C. court awards couple $1.7 million in damages against the CRA
The court ordered $750,000 in punitive damages against the tax agency, saying that the charges never should have been brought
- By: James Langton
- March 6, 2018 November 13, 2019
- 13:22
Global banks meeting revised Basel III requirements
New review from the Basel Committee on Banking Supervision finds that all banks meet their Tier 1 common equity requirement
- By: James Langton
- March 6, 2018 November 13, 2019
- 12:14
A quarter of British Columbians susceptible to investment fraud: BCSC
B.C. women between the ages of 18 and 34 were particularly interested in an investment offer despite it containing basic signs of fraud
- By: James Langton
- March 5, 2018 November 13, 2019
- 16:08
SEC announces charges in microcap manipulative trading scheme
Some of the manipulative trades were placed with Canadian brokers
- By: James Langton
- March 2, 2018 November 13, 2019
- 14:00
Mary Condon joins CMAIO
Later this month, the Supreme Court of Canada will hear a constitutional challenge to the proposed co-operative capital markets regulator
- By: James Langton
- March 1, 2018 November 13, 2019
- 10:23
IIROC takes aim at minor infractions
The SRO is looking to deal with certain cases more quickly
- By: James Langton
- March 1, 2018 November 13, 2019
- 00:23
BCSC seeks comments on gender diversity
With other jurisdictions pondering possible changes to disclosure requirements, is important that B.C. market participants have an opportunity to share their views
- By: James Langton
- February 26, 2018 November 13, 2019
- 14:00
IIROC proposes two new enforcement programs
The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases
- By: James Langton
- February 22, 2018 November 13, 2019
- 14:15
U.K. launches cryptocurrency and blockchain inquiry
Treasury Committee to examine risks and opportunities for financial institutions and consumers
- By: James Langton
- February 22, 2018 November 13, 2019
- 10:30
SEC adopts guidance on cybersecurity disclosure
The goal is to promote clearer and more robust disclosure by companies about cybersecurity risks and incidents
- By: James Langton
- February 21, 2018 November 13, 2019
- 14:07
FCA mulls using technology to achieve smarter regulatory reporting
Consultation paper seeks input on making reporting requirements machine-readable and executable
- By: James Langton
- February 20, 2018 November 13, 2019
- 16:00
Australian banks pay additional compensation to clients
More than 3,000 customers have received compensation for losses as a result of non-compliant conduct by advisors
- By: James Langton
- February 20, 2018 November 13, 2019
- 15:20