IOSCO proposes guidance on conflicts of interest
Conflicts during the capital raising process can damage investor confidence
- February 21, 2018 November 13, 2019
- 12:00
Latest news in From the Regulators
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
U.K., U.S. regulators sign collaboration agreement
The FCA and the CFTC commit to supporting innovative firms through each other’s fintech initiatives
- February 20, 2018 November 13, 2019
- 13:30
OSC invites Rezwealth fraud victims to apply for compensation
$70,000 has been seized in the case involving Rezwealth Financial Services Inc. and several other firms and individuals
- February 20, 2018 November 13, 2019
- 10:30
OSC cease trades USI-Tech
Alleged bitcoin multi-level marketing scheme targets investors
- By: James Langton
- February 16, 2018 November 13, 2019
- 10:45
Fintech raises concerns for regulators
Survey shows millennials at greatest risk for fintech fraud
- By: James Langton
- February 15, 2018 November 13, 2019
- 14:00
MFDA ramps up enforcement of sales rule
Violations of the rule involve certain incentives programs
- By: James Langton
- February 15, 2018 November 13, 2019
- 00:23
BCSC consults with fintech stakeholders
Regulator seeks input put on robo-advisors, cryptocurrencies and crowdfunding
- By: James Langton
- February 14, 2018 November 13, 2019
- 15:00
Australian Financial Complaints Authority aims to improve redress for consumers
The new service will feature higher monetary limits and compensation caps
- February 14, 2018 November 13, 2019
- 14:33
SEC initiative encourages self-reporting of mutual fund conflicts
To qualify, firms must promptly return money to harmed clients
- By: James Langton
- February 13, 2018 November 13, 2019
- 17:05
IOSCO’s fund guidance will benefit asset managers: Moody’s
Firms should benefit once the industry adopts liquidity risk recommendations
- By: James Langton
- February 13, 2018 November 13, 2019
- 15:45
IOSCO eyes risks of OTC leveraged products
Consultation paper identifies regulatory approaches aimed at enhancing investor protection
- By: James Langton
- February 13, 2018 November 13, 2019
- 13:30
U.K. regulators review algorithmic trading
A new report calls on firms to ensure they are properly managing risks and highlights areas of good and bad practice
- By: James Langton
- February 12, 2018 November 13, 2019
- 16:10
CCIR developing guidance to enhance consumer protection
The new guidance will align with international standards for insurance regulation
- By: IE Staff
- February 12, 2018 November 13, 2019
- 15:30
Feds reviewing AML legislation
Discussion paper contemplates including lawyers in Canada’s AML regime
- By: James Langton
- February 12, 2018 November 5, 2019
- 15:00
European regulators warn of risks in buying cryptocurrencies
Consumers should be aware there is a high risk they will lose a large amount, or even all, of the money invested
- By: James Langton
- February 12, 2018 November 5, 2019
- 14:20
BIS, IMF to launch course on banking supervision
The online course will be made available to financial regulators worldwide later this year
- By: James Langton
- February 12, 2018 November 5, 2019
- 10:30
FINRA seeks input on “customer recovery”
The U.S. self-regulatory organization is looking to improve arbitration payouts to clients
- By: James Langton
- February 9, 2018 November 5, 2019
- 17:15
B.C. man and partnership committed fraud: BCSC
Panel finds foreign nine exchange investors were defrauded of $1.4 million
- By: IE Staff
- February 9, 2018 November 5, 2019
- 14:45
CSA affirms disclosure policy for cannabis firms with U.S. ties
Regulators release additional disclosure expectations for companies
- By: The Canadian Press
- February 8, 2018 November 5, 2019
- 19:30
Canadian, French regulators sign fintech agreement
Co-operation deal aims to allow fintech firms to extend their global reach and actively learn from each other
- By: James Langton
- February 8, 2018 November 5, 2019
- 09:30
OSC introduces fintech advisory committee members
Members represent a a broad spectrum of the fintech community, from startups to financial institutions
- By: James Langton
- February 7, 2018 November 5, 2019
- 14:25
ESMA tackles CCP conflicts of interest
Central counterparties should consider potential conflicts in various relationships
- By: James Langton
- February 7, 2018 November 5, 2019
- 13:30