Brokerage firms in the U.S. to have simplified single filing portal
FINRA and the SIPC reached an agreement that’s intended to reduce the compliance burden and costs for firms
- By: James Langton
- August 1, 2017 May 31, 2019
- 13:00
Latest news in From the Regulators
Ontario court rejects appeal
Two men convicted of securities law violations lose bid to appeal convictions and penalties
- By: James Langton
- August 1, 2017 May 31, 2019
- 11:15
New York boosts cybersecurity
State regulator launches online portal for financial firms to report possible breaches
- By: James Langton
- July 31, 2017 May 31, 2019
- 15:35
OSFI sets out new rules for pension plans’ use of derivatives
Changes to derivatives guideline aim to reflect current practices for the risk-management of derivatives activities
- By: James Langton
- July 31, 2017 May 31, 2019
- 15:00
CSA’s big education efforts targeted CRM2 and binary options scams
The provincial regulators placed significant efforts through video and other campaigns to make investors aware of these growing issues
- By: James Langton
- July 31, 2017 May 31, 2019
- 10:45
FCA’s CEO calls for transition away from LIBOR
The financial services sector should begin planning for a move to alternative interest rate benchmarks based on actual transactions
- By: James Langton
- July 28, 2017 May 31, 2019
- 14:25
Compliance Calendar 2017: Recent Updates
Regulators seek comment on capital rules for life insurers
- By: IE Staff
- July 28, 2017 May 31, 2019
- 13:35
SEC falling short in improving cybersecurity
Government watchdog says regulator’s failure to implement recommendations puts financial systems at risk
- By: James Langton
- July 28, 2017 May 31, 2019
- 12:00
Canada up to par in asset protection
While most countries have generally adopted client-asset protection regimes, progress varies
- By: James Langton
- July 27, 2017 May 31, 2019
- 14:55
Regulators put focus on conflicted transactions
New notice cites importance of establishing special committees of independent directors to protect the interests of minority shareholders
- By: James Langton
- July 27, 2017 May 31, 2019
- 14:45
U.S. regulators sanction four firms
Deutsche Bank, Citigroup, J.P. Morgan and Interactive Brokers have been cited for violating market access rules
- By: James Langton
- July 27, 2017 May 31, 2019
- 14:30
SEC awards tipster more than US$1.7 million
The corporate insider, who tipped off U.S. securities regulators to the alleged fraud, is the second whistleblower the SEC has awarded this week
- By: James Langton
- July 27, 2017 May 31, 2019
- 13:30
CSA’s new rules enhance custody requirements on EMDs
The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client assets
- By: James Langton
- July 27, 2017 May 31, 2019
- 11:10
FINRA restructures enforcement division under Susan Schroeder
The new unit aims to consolidate the self-regulatory organization’s existing separate enforcement teams
- By: James Langton
- July 26, 2017 May 31, 2019
- 15:05
Proposed rule change targets advisors accessing client accounts
NASAA’s proposal aims to curtail the practice of advisors accessing client accounts through their clients' login information
- By: James Langton
- July 26, 2017 May 31, 2019
- 12:10
Manitoba investors lured into binary options fraud
The offshore firm involved in the scam used images of a Canadian celebrity to draw victims in
- By: James Langton
- July 26, 2017 May 31, 2019
- 11:45
Digital asset offerings are subject to securities laws: SEC
The regulator has advised that it considers offers of digital assets utilizing blockchain technology as securities
- By: James Langton
- July 26, 2017 May 31, 2019
- 08:25
U.S. whistleblower awarded US$2.5 million
Tips, plus documents and testimony, led to the award
- By: James Langton
- July 25, 2017 May 31, 2019
- 14:10
U.S. derivatives regulator approves digital currency firm
LedgerX registered as derivatives clearing organization
- By: James Langton
- July 25, 2017 May 31, 2019
- 12:55
OSC to post tribunal decisions on CanLII
This approach aims to further enhance the regulator's accessibility and transparency
- By: James Langton
- July 24, 2017 May 31, 2019
- 10:30
OSFI seeks comment on proposed new rules for insurers
New draft rules issued on Friday set out public disclosure requirements under the new risk-sensitive capital rules for life insurers
- By: James Langton
- July 21, 2017 May 31, 2019
- 15:15
AMF to examine incentives structures in the insurance sector
The regulator’s paper follows a 2015 survey highlighting several concerns, including the management of conflicts connected with remuneration
- By: James Langton
- July 21, 2017 May 31, 2019
- 14:30
IIROC finds former First Leaside CFO violated securities rules
Although a hearing panel found Michael Sutton had no intent to violate the rules, it ruled that he failed to ensure proprietary funds were priced…
- By: James Langton
- July 21, 2017 May 31, 2019
- 11:10
OSFI delays deadline for bank reforms
Canadian banks will have until 2021 to implement new capital requirements for market risk
- By: James Langton
- July 20, 2017 May 31, 2019
- 14:20