Fed seeks comments on proposal for stress testing rules
Proposed rule would ease stress testing requirements for firms with less complex operations
- By: James Langton
- September 26, 2016 December 19, 2017
- 16:00
Latest news in From the Regulators
SEC charges Merrill Lynch with trading controls failures
Erroneous orders causing numerous “mini-flash crashes”
- By: James Langton
- September 26, 2016 December 19, 2017
- 14:20
OSC seeks members for registrant advisory committee
The committee provides feedback on issues that impact registered firms, including registration and compliance-related topics
- By: James Langton
- September 26, 2016 December 19, 2017
- 11:20
IAP roundtable to discuss risk profiling and retail advice
PlanPlus’s Shawn Brayman honoured for research into risk profiling, and its role in the advice process in Canada
- By: James Langton
- September 23, 2016 December 19, 2017
- 09:50
OSFI proposes new capital requirements for mortgage insurers
The planned changes aim to improve how mortgage insurers measure their capital positions and to position them to withstand losses
- By: James Langton
- September 23, 2016 December 19, 2017
- 09:00
CSA to hold roundtable meetings on proposed reforms
The hearings are slated to take place in Toronto, Halifax, Montreal, Calgary and Vancouver later this year
- By: James Langton
- September 22, 2016 December 19, 2017
- 11:40
CSA proposes amendments to regulation of alternative investment funds
The modernized rules would introduce investment restrictions, including concentration limits, liquidity requirements, and borrowing restrictions
- By: James Langton
- September 22, 2016 November 7, 2018
- 11:00
BCSC panel bans man for fraud
Vulnerable senior’s money diverted to pay for personal expenses, panel finds
- By: IE Staff
- September 21, 2016 December 19, 2017
- 14:25
British regulators find insurance industry’s use “big data” is positive
But regulators are nonetheless concerned that big data may make it harder for some clients to obtain or pay for insurance
- By: James Langton
- September 21, 2016 December 19, 2017
- 10:40
SEC issues US$4 million whistleblower award
Whistleblower awards top US$100 million
- By: James Langton
- September 20, 2016 December 19, 2017
- 13:00
B.C. court grants stay on fraud and theft charges against former advisor
Charles Kamal Dass had sought a stay of the case against him on the basis of an unreasonable delay in hearing the allegations against him
- By: James Langton
- September 20, 2016 December 19, 2017
- 10:50
FINRA announces new governors
One small-firm industry governor elected, two new governors appointed
- By: James Langton
- September 19, 2016 December 19, 2017
- 15:00
Ernst & Young to pay US$9.3 million to settle SEC charges
First SEC enforcement actions for auditor independence failures due to close personal relationships
- By: James Langton
- September 19, 2016 December 19, 2017
- 11:00
FINRA warns investors about “recovery scams”
New alert details a series red flags for investors
- By: James Langton
- September 19, 2016 December 19, 2017
- 10:00
Central banks are reviewing wholesale payments security
Recent incidents of cyber fraud are of significant concern for the central banking community
- By: James Langton
- September 16, 2016 December 19, 2017
- 15:00
New MFDA brochure focuses on helping clients choose the right advisor
The brochure walks investors through the development of a relationship with an advisor and suggests questions investors should ask advisor before commencing the relationship
- By: Tessie Sanci
- September 16, 2016 December 19, 2017
- 10:35
AMF report outlines disclosure deficiencies
The Quebec regulator’s report also highlights its priorities for the coming year
- By: James Langton
- September 15, 2016 December 19, 2017
- 14:40
FCA issues update on aging population strategy
A newly created advice unit will work with the industry to provide regulatory feedback on automated advice models
- By: James Langton
- September 15, 2016 December 19, 2017
- 13:10
Australian regulator releases guidance on remediation
ASIC wants to ensure retail advice firms put processes in place to compensate their clients for losses suffered as result of advisor misconduct
- By: James Langton
- September 15, 2016 December 19, 2017
- 11:00
AMF creates technological innovation advisory committee
The Quebec regulator is calling for candidates to serve on the new fintech committee
- By: James Langton
- September 15, 2016 December 19, 2017
- 10:15
ASC seeks comment on disclosure amendments
Proposed amendments would require issuers to provide disclosure on the representation of women on corporate boards and in senior management
- By: James Langton
- September 14, 2016 December 19, 2017
- 14:40
Enhanced regulatory scrutiny boosts NASAA enforcement
For first time, report shows more actions brought against registered securities industry members than non-registered individuals
- By: James Langton
- September 14, 2016 December 19, 2017
- 09:40
Minnesota’s Mike Rothman begins term as NASAA president
Cybersecurity, enforcement and seniors are top priorities for the year ahead
- By: James Langton
- September 13, 2016 December 19, 2017
- 15:15
IIROC announces board of directors
New directors include Luc Paiement and Thomas Wittman
- September 13, 2016 December 19, 2017
- 12:50
Work needed on conflict of interest rules, says IIROC CEO
The SRO will make certain that its rules and guidance put the best interest of clients ahead of dealers and reps
- By: James Langton
- September 13, 2016 December 19, 2017
- 10:40