Most insurers complying with CCIR’s new reporting requirements
Carriers had to provide a wide range of information on the business they conducted during the previous calendar year by May 1
- By: Megan Harman
- May 26, 2017 March 1, 2019
- 15:25
Latest news in From the Regulators
MFDA reports surge in enforcement activity for 2016
The SRO brought a record 111 proceedings against both advisors and dealers and also levied $21.1 million in fines last year
- By: James Langton
- May 26, 2017 March 1, 2019
- 14:15
ASIC proposes next steps on regtech
The Australian regulator will establish a new regtech industry liaison network
- By: James Langton
- May 26, 2017 March 1, 2019
- 13:00
Ontario joins streamlined PRPP agreement
The agreement delegates responsibility for licensing, registering and supervising certain PRPPs to OSFI
- By: James Langton
- May 26, 2017 March 1, 2019
- 10:35
OSC grants relief to Invesco
The mutual fund firm will be able to finance educational events that Quebec-based lobby group for advisors, PAFSA, is hosting
- By: James Langton
- May 25, 2017 March 1, 2019
- 15:50
New cybersecurity rules for U.S. investment firms, advisors on the way
Given proposed new rules in Colorado and rules set in New York State, “it is likely that other states will issue cybersecurity requirements as well”
- By: James Langton
- May 25, 2017 March 1, 2019
- 14:00
IIROC webcast examines automated advice and suitability
The panel discussion was recorded at the 2016 IIROC compliance conference in Toronto
- By: James Langton
- May 25, 2017 March 1, 2019
- 12:40
New code of conduct aims to set standards for FX trading
Central banks are calling on FX industry firms to bring their trading practices in line with the principles of the code and to support its…
- By: James Langton
- May 25, 2017 March 1, 2019
- 10:40
Paper sets out OSC’s approach to regulatory policy
Regulators must have the courage to foster a responsive regulatory climate while protecting investors
- By: James Langton
- May 25, 2017 March 1, 2019
- 10:15
Ban on embedded commissions could take toll on non-bank dealers
New MFDA report also finds that a switch to direct-pay arrangements will “have a greater impact on those smaller advisors who are more reliant on…
- By: James Langton
- May 23, 2017 March 1, 2019
- 15:55
CFTC bolsters protection for whistleblowers
Amendments strengthen anti-retaliation protections
- By: James Langton
- May 23, 2017 March 1, 2019
- 14:00
FSB issues progress report on preventing financial industry misconduct
Regulators to examine the problem of employees that leave one firm amid suspected misconduct, only to turn up at another firm in the industry
- By: James Langton
- May 23, 2017 March 1, 2019
- 13:50
U.S. DOL to implement fiduciary duty on June 9
But the DOL will continue to analyze the issues raised in a Trump administration order— and it’s possible the rule will face further changes
- By: James Langton
- May 23, 2017 March 1, 2019
- 11:40
IE’s Regulatory Reporter: May 2017
A monthly update on recent regulatory events and approaching deadlines
- By: Patricia Chisholm
- May 19, 2017 March 1, 2019
- 11:15
IIROC proposes revised dealer rules resulting from changes at CCPs
The SRO’s proposed changes may result in higher margin requirements for certain institutional customers
- By: James Langton
- May 18, 2017 March 1, 2019
- 15:30
U.S. CFTC to introduce fintech lab
LabCFTC aims to foster “responsible innovation” among fintech innovators and provide information to help inform policy development
- By: Beatrice Paez
- May 18, 2017 March 1, 2019
- 13:25
EBA consults on banks’ use of cloud computing
Proposed guidance seek to clarify regulators’ expectations
- By: James Langton
- May 18, 2017 March 1, 2019
- 11:30
CSA finds widespread compliance deficiencies at smaller firms
The results of the review of 65 small firms also provides additional guidance for these firms to meet their obligations
- By: James Langton
- May 18, 2017 March 1, 2019
- 11:00
IOSCO conference opens in Jamaica
Regulators are focused on strengthening market resilience
- By: James Langton
- May 17, 2017 March 1, 2019
- 14:15
IIROC announces consultation on client identifiers
Regulator requests initial comments and proposes working group
- By: James Langton
- May 17, 2017 March 1, 2019
- 10:40
FINRA reviewing brokers’ outside business activities
Regulator to examine whether the rules are effective in dealing with the kinds of problems they were intended to address
- By: James Langton
- May 15, 2017 March 1, 2019
- 15:00
FSCO issues warning about GCA Group
The firm is not licensed or registered to conduct syndicated mortgage business in Ontario
- By: James Langton
- May 15, 2017 March 1, 2019
- 14:00
Quebec court dismisses appeal in illegal distributions case
18-month jail sentence establishes a deterrent to others
- By: James Langton
- May 12, 2017 March 1, 2019
- 14:20
FCA and SFC sign fintech co-operation agreement
The agreement is one of several intended to foster innovation on a global scale
- By: James Langton
- May 12, 2017 March 1, 2019
- 09:40