CFTC extends relief to dealers in Canada, other countries
The U.S. regulator will not recommend enforcement action against dealers for failing to comply with swap data reporting requirements
- By: James Langton
- November 30, 2017 October 7, 2019
- 15:00
Latest news in From the Regulators
FSB proposes new guidance for banks deemed too big too fail
Global policymakers seek comments on two consultation papers
- By: James Langton
- November 30, 2017 October 7, 2019
- 14:40
CSA approves IIROC CE rules
Tougher penalties for failing to meet CE requirements will be delayed until the end of the new CE cycle
- By: James Langton
- November 30, 2017 October 7, 2019
- 12:50
Australia to investigate alleged financial industry misconduct
Inquiry adds to challenges at Australian banks
- By: James Langton
- November 30, 2017 October 7, 2019
- 12:00
OSFI releases final version of CAR guideline
The revisions result from the adoption of IFRS 9 accounting standards by deposit-taking institutions in 2018
- By: James Langton
- November 30, 2017 October 7, 2019
- 11:40
Exposure to high debt, housing has eased: BoC
Healthy job creation, tightening housing policies and higher mortgages rates make Canada’s financial system less vulnerable
- By: The Canadian Press
- November 28, 2017 October 7, 2019
- 15:45
Expert to review Australia’s investment fees and costs disclosure
The review aims to assess whether investors are getting useful information
- By: James Langton
- November 28, 2017 October 7, 2019
- 11:20
Enforcement of DOL fiduciary rule delayed for 18 months
Further comments on the rule invited during transition period
- By: James Langton
- November 27, 2017 October 7, 2019
- 16:00
OSFI publishes final 2018 LICAT guideline
The new capital rules for federally regulated life insurers reflect lessons learned from the financial crisis
- By: James Langton
- November 24, 2017 October 7, 2019
- 15:30
OSC panel declines to suspend Omega Securities
The panel did impose conditions on the alternative trading service’s registration that relate to its provision of market data
- By: James Langton
- November 24, 2017 October 7, 2019
- 11:25
FCA issues update on LIBOR panels
Twenty banks have agreed to continue supporting the financial benchmark until the end of 2021
- By: James Langton
- November 24, 2017 October 7, 2019
- 10:45
Convicted securities law violator pleads guilty to further charges
Carlos Da Silva, who escaped Canada following his 2015 conviction, will be sentenced for defying a court order and failing to surrender to authorities early…
- By: James Langton
- November 23, 2017 October 7, 2019
- 17:10
IOSCO guidance for the termination of investment funds aims to protect investors
The decision to terminate an investment fund can have a significant impact on investors
- By: James Langton
- November 23, 2017 October 7, 2019
- 15:50
Global regulators propose reforms for audit standard setting
Consultation paper outlines options for enhancing the independence, relevance, and transparency
- By: James Langton
- November 22, 2017 October 7, 2019
- 14:50
AMF creates role to oversee fintech and innovation
Moad Fahmi will co-ordinate the work of the AMF’s fintech working group
- By: James Langton
- November 22, 2017 October 7, 2019
- 14:00
OSC seeks applicants for fintech advisory committee
The committee will assist in keeping regulation in step with digital innovation
- By: James Langton
- November 22, 2017 October 7, 2019
- 11:10
IIROC to allow restricted reps to trade in exempt securities
Securities regulators extend mutual fund-only exemption
- By: James Langton
- November 22, 2017 October 7, 2019
- 10:20
B.C. regulators cancel life licences
The agents had similar answer sequences on their licensing exams
- November 21, 2017 October 7, 2019
- 16:00
Venture capital investments in N.B. reach a new high
FCNB releases capital markets report
- By: James Langton
- November 17, 2017 October 7, 2019
- 12:10
ESMA proposes guidelines on derivatives data reporting
The guidelines aim to ensure greater consistency in reporting by trade repositories
- By: James Langton
- November 17, 2017 October 7, 2019
- 12:00
AMF eyes reps’ business relationships
The Quebec regulator intends to publish a governance and compliance guide for firms in early 2018
- By: James Langton
- November 16, 2017 October 7, 2019
- 17:25
Report calls on industry to combat elder financial abuse
Investment industry firms urged to do more to prepare for and respond to the needs of vulnerable investors
- By: James Langton
- November 16, 2017 October 7, 2019
- 15:55
BCSC sponsors regtech hackathon
The competition will focus on tech-driven solutions that could help industry firms meet their regulatory requirements
- November 16, 2017 October 7, 2019
- 15:30
SEC to focus on defending retail investors
Enforcement division releases report on priorities and enforcement activity
- By: James Langton
- November 16, 2017 October 7, 2019
- 15:10
FINRA’s public board members criticized for “deep ties” to investment industry
A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have…
- By: James Langton
- November 16, 2017 October 7, 2019
- 12:25