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
Latest news in From the Regulators
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
OSC roundtable discussions to feature two panels
The panels dealing with the CSA’s proposed reforms will focus on the proposed best interest standard as well as the other key targeted reforms
- By: James Langton
- November 10, 2016 December 19, 2017
- 14:50
ESMA finalizes advice on future rules for financial benchmarks
The new regulatory framework aims to clarify the behaviours and standards expected of benchmark administrators and contributors
- By: James Langton
- November 10, 2016 December 19, 2017
- 13:55
IIROC hearing panel approves settlement with Edward Jones
The firm admitted to shortcomings in its oversight of several advisors after they ran into regulatory trouble of their own
- By: James Langton
- November 10, 2016 December 19, 2017
- 12:30
OSC to host first hackathon later this month
The event is expected to produce apps that provide solutions to emerging issues in several notable areas
- By: James Langton
- November 10, 2016 December 19, 2017
- 10:40
New accounting standards will boost credit loss provisions for European banks: report
IFRS 9 introduces a new impairment model based on expected credit losses, and introduces new requirements on the classification of financial assets
- By: James Langton
- November 10, 2016 December 19, 2017
- 10:15
IIROC revises circuit breaker trigger levels for today’s trading
The move is being made in anticipation of “the potential for increased volatility” resulting from Donald Trump’s election victory
- By: James Langton
- November 9, 2016 December 19, 2017
- 09:40
Ontario to introduce new financial services regulator
The new financial services regulatory authority will replace FSCO and DICO and “modernize and strengthen the regulator of financial services and pensions”
- By: James Langton
- November 8, 2016 December 12, 2018
- 14:45
OSC announces agency for proxy voting reform roundtable
The half-day meeting will feature two panel discussions
- By: James Langton
- November 8, 2016 December 19, 2017
- 13:45
Central banks are monitoring and fostering the development of fast payment services: CPMI
A new report says these sorts of services create benefits and challenges for payments systems
- By: James Langton
- November 8, 2016 December 19, 2017
- 11:15
Financial Conduct Authority unveils successful sandbox firms
Testing will begin shortly, U.K. regulator says
- By: James Langton
- November 7, 2016 December 19, 2017
- 10:30
European regulators launch consultation on possible new capital regime for investment firms
Discussion paper sets out three alternatives
- By: James Langton
- November 4, 2016 December 19, 2017
- 12:50
IIROC proposes to allow OEO firms to provide limited model portfolios
The SRO points out that the advice these firms are providing is helping to fill the “advice gap” some clients may be experiencing
- By: James Langton
- November 3, 2016 December 19, 2017
- 12:10
Newfoundland and Labrador signs on to agreement with CFTCA
The province is the latest to join the agreement, which Alberta, B.C., Ontario and Quebec originally signed on to in 2014
- By: James Langton
- November 2, 2016 December 19, 2017
- 16:05