EBA, ESMA target improvement of financial firms’ management
European financial regulators’ new guidance focuses on ensuring financial services institutions’ management is up to the task
- By: James Langton
- October 28, 2016 December 19, 2017
- 14:20
Latest news in From the Regulators
Dealers concerned with best interest implementation
Ensuring that clients come first can only improve public confidence in markets, IIROC CEO says
- By: James Langton
- October 27, 2016 December 19, 2017
- 14:30
U.S. banking regulator reveals fintech plans
OCC to launch innovation office
- By: James Langton
- October 27, 2016 December 19, 2017
- 12:35
MFDA wants to regulate “financial planner” title
Proposed amendments would establish minimum proficiency requirements for mutual fund reps who present themselves as planners
- By: James Langton
- October 27, 2016 September 14, 2018
- 11:30
SEC proposes amendments to require use of universal proxy cards
Proposals would require participants in a contested board election to use proxy cards that enable shareholders to vote for any candidate
- By: James Langton
- October 26, 2016 December 19, 2017
- 16:50
OSFI publishes PRPP instruction guides
Regulator revises FAQs
- By: James Langton
- October 26, 2016 December 19, 2017
- 11:40
CIBC plans to compensate mutual fund, investment clients
OSC hearing scheduled for Friday
- By: The Canadian Press
- October 26, 2016 December 19, 2017
- 08:30
Fed payments task force identifies key priorities
Survey seeks comments on efforts to enhance the safety, security and resiliency of the U.S. payments system
- By: James Langton
- October 25, 2016 December 19, 2017
- 15:15
MFDA bans advisor for 10 years
The advisor, who has also been fined $50,000, borrowed money from a client and failed to co-operate fully with the regulator’s investigation
- By: Tessie Sanci
- October 24, 2016 December 19, 2017
- 11:25
FSCO suspends operations of three firms involved in syndicated mortgages
The Ontario regulator has laid the hammer down on Tier 1 Transaction Advisory Services, Tier 1 Mortgage and First Commonwealth Mortgage for various infractions
- By: Fiona Collie
- October 24, 2016 December 19, 2017
- 10:55
OSC introduces fintech innovation hub and regulatory sandbox
OSC LaunchPad aims to help fledgling fintech companies navigate the complex world of securities laws and help them get to market faster
- By: James Langton
- October 24, 2016 December 19, 2017
- 09:20
IIROC outlines next steps to address concerns of small-cap issuers
The self-regulatory organization plans to focus on issues surrounding short selling
- By: James Langton
- October 20, 2016 December 19, 2017
- 13:50
OSC requests applications for Securities Proceedings Advisory Committee
The SPAC advises the commission on a variety of policy and procedural initiatives relating to proceedings before the OSC’s administrative tribunal
- By: James Langton
- October 20, 2016 December 19, 2017
- 12:00
CSA aims to raise awareness of CRM2 with new animated videos
Securities regulators have produced a series of videos designed to help demystify certain aspects of the CRM2 reforms for clients
- By: James Langton
- October 19, 2016 December 19, 2017
- 14:00
FINRA gets approval to require firms to report Treasury transactions
The new reporting requirement is intended to enhance regulatory oversight of the U.S. Treasury market
- By: James Langton
- October 19, 2016 December 19, 2017
- 13:30
Policymakers propose harmonization of OTC derivatives data
IOSCO, CPMI release consultation paper
- By: James Langton
- October 19, 2016 December 19, 2017
- 11:00
Regulators having trouble meeting some Basel III deadlines
Basel Committee issues eleventh progress report
- By: James Langton
- October 19, 2016 December 19, 2017
- 08:50
U.K. regulator proposes investment banking reforms
FCA will work with the industry to develop standards for underwriting league tables
- October 18, 2016 December 19, 2017
- 12:40
OSC plans roundtable on proxy voting reforms
CSA protocols intended to improve the accuracy, reliability and transparency of shareholder votes
- By: James Langton
- October 18, 2016 December 19, 2017
- 10:30
FINRA fines Merrill Lynch US$2.8 million
The is being sanctioned in connection with trade reporting failures and related supervisory violations
- By: James Langton
- October 18, 2016 December 19, 2017
- 10:10
IIROC hearing panel bans advisor for five years due to various infractions
Robert Adrian Crandall has also been fined $150,000 and ordered to pay $35,000 in costs
- By: James Langton
- October 17, 2016 December 19, 2017
- 16:15
Phase two of bond market transparency initiative takes effect Nov. 1
IIROC issues reminder to dealers
- By: James Langton
- October 17, 2016 December 19, 2017
- 14:35
Australian regulators continue to review ASX trading outage
The ASIC’s ongoing review will help determine whether any changes could help the market and its users function more effectively
- By: James Langton
- October 14, 2016 December 19, 2017
- 10:30
SEC steps up regulation of U.S. asset-management business
New rule will enhance reporting requirements and bolster liquidity risk management obligations among mutual funds and ETFs
- By: James Langton
- October 13, 2016 December 19, 2017
- 15:50