AMF consults on regulation of real estate investments
Proposed rule aims to simplify the framework governing certain real estate distributions
- By: James Langton
- November 28, 2016 December 19, 2017
- 13:45
Latest news in From the Regulators
ASC orders former broker to pay more than $500,000 for violating securities laws
The regulator considers Nelson Bradbury “a continuing danger to the investing public” because of the infractions he has committed during his lifetime
- By: Tessie Sanci
- November 25, 2016 December 19, 2017
- 15:30
IIROC to issue new mobile-friendly versions of its logo
The SRO is also redesigning the official brochure that firms will be required to distribute to new retail clients when they open an account early…
- By: James Langton
- November 24, 2016 December 19, 2017
- 15:15
Regulators propose new rules to ensure all shareholders are treated fairly
The rules that securities commissions in Alberta, Manitoba and New Brunswick are proposing are already in place in Ontario and Quebec
- By: James Langton
- November 24, 2016 December 19, 2017
- 14:00
OSC stresses concerns with several financial reporting issues
The regulator’s notice examines several financial reporting issues, such as the use of non-standard accounting metrics
- By: James Langton
- November 24, 2016 December 19, 2017
- 13:10
Ontario finance minister to participate in OSC hackathon
RegHackTo brings together innovators, strategists and developers to explore solutions to regulatory issues
- By: James Langton
- November 23, 2016 December 19, 2017
- 14:40
OSC releases agenda, participants for major roundtable discussion
The event will examine the proposed reforms that CSA put forth in a consultation paper this past April
- November 23, 2016 December 19, 2017
- 14:15
Basel Committee proposals clarify rules on combating money laundering and terrorist financing
Proposed revisions recognize that not all correspondent banking relationships bear the same level of risk
- By: James Langton
- November 23, 2016 December 19, 2017
- 10:00
CSA defends approach to regulating the provision of market data
The regulators issued a statement on Tuesday following news that the Competition Bureau has discontinued an investigation into TMX Group
- By: James Langton
- November 22, 2016 December 19, 2017
- 16:10
U.S. CFTC releases enforcement results for fiscal 2016
The regulator filed 68 enforcement cases and achieved more than US$1 billion in monetary sanctions ordered
- By: James Langton
- November 21, 2016 December 19, 2017
- 15:50
MFDA fulfilling its duties, but room for improvement exists, CSA finds
Although the MFDA’s processes are “effective, efficient and applied consistently and fairly,” it could take a harder line against registrants
- By: James Langton
- November 18, 2016 December 19, 2017
- 11:40
High cost of active management not justified, FCA study finds
The U.K. regulator is proposing reforms designed to improve competition in the market, including a stronger duty on asset managers to act in the best…
- By: James Langton
- November 18, 2016 December 19, 2017
- 11:15
OSC Investor Office makes its mark in first year
The office’s establishment has paid off, as there have been significant increases in use and participation of education and outreach activities
- By: IE Staff
- November 18, 2016 December 19, 2017
- 10:50
FSB announces 2017 work plan
Updated lists of global systemically-important banks and insurers will be released next week
- By: James Langton
- November 17, 2016 December 19, 2017
- 17:15
CSA to host cybersecurity roundtable in early 2017
The discussion will focus on examining cybersecurity in the securities industry and possible approaches to dealing with cyberattacks
- By: James Langton
- November 17, 2016 December 19, 2017
- 14:00
Ontario’s new budget bill focuses on FSRA, whistleblower protections
The bill also includes provisions to dissolve the Ontario Retirement Pension Plan (ORPP) Administration Corp.
- By: James Langton
- November 17, 2016 December 19, 2017
- 12:40
CSA targets arrangements between dealers and portfolio managers
Although regulators don’t oppose these arrangements, it stresses that dealers and portfolio managers must satisfy their regulatory obligations
- By: James Langton
- November 17, 2016 December 19, 2017
- 12:10
New York attorney general stands up for Blue Sky laws
Eric Schneiderman is “deeply troubled” that Trump’s transition team is looking to dismantle state consumer and investor protection statutes
- By: James Langton
- November 17, 2016 December 19, 2017
- 11:35
CFTC issues results of clearinghouse stress tests
Clearinghouses have the resources to withstand a variety of extreme market price changes across a wide range of products
- By: James Langton
- November 16, 2016 December 19, 2017
- 13:20
SEC votes in favour of U.S. national market system plan
The regulator altered several aspects of the plan to adopt a consolidated audit trail in response to public comments and recommendations from the SROs
- By: James Langton
- November 15, 2016 December 19, 2017
- 17:40
Ontario puts focus on financial services regulation in latest update
The province formally introduced official plans for FSRA and reiterated its support for establishing the Co-operative Capital Markets Regulator
- By: James Langton
- November 14, 2016 December 19, 2017
- 15:00
SEC awards whistleblower more than US$20 million
The tipster enabled the SEC to bring an enforcement action against the culprit before most of the money could be lost, leading to an almost…
- By: James Langton
- November 14, 2016 December 19, 2017
- 14:00
ESMA proposes more time for OTC derivatives clearing compliance
The ESMA is proposing to postpone the phase-in period for counterpartines with a limited volume of dertivatives
- By: James Langton
- November 14, 2016 December 19, 2017
- 10:25
European regulators asked to revise planned new disclosure regime
Policymakers call for simpler cost disclosure
- By: James Langton
- November 11, 2016 December 19, 2017
- 12:30