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
Latest news in From the Regulators
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
SEC must tread carefully with creation of fiduciary duty: Mary Jo White
Although the U.S. regulator will have to act on the prospect of a uniform fiduciary duty, it’s important not to curb investors’ access to advice
- By: James Langton
- November 2, 2016 December 19, 2017
- 13:40
IIROC signs new MOU with the CIDC
As part of the agreement, the two organizations will be able to improve information sharing and co-operation to protect investors
- November 2, 2016 December 19, 2017
- 09:50
OSC and Australian regulators sign fintech-related agreement
The regulators have agreed to support startups that are seeking to open up shop in one another’s markets
- By: James Langton
- November 2, 2016 December 19, 2017
- 06:00
U.S. financial authorities aim to combat the rising risk of cybercrime
New guidance gives financial services firms advice on how legal requirements apply to cyber-events and online crime
- By: James Langton
- November 1, 2016 February 22, 2018
- 14:50
Head of AMF’s solvency division elected to global body’s executive council
The AMF has participated in several IADI bodies over the years and the Quebec regulator will host the organization’s annual meeting next year
- By: James Langton
- November 1, 2016 December 19, 2017
- 11:20
OSC seeks applications for fintech advisory committee
The FAC will advise staff of the newly created OSC LaunchPad on developments in fintech and the unique challenges faced by start-ups in the securities…
- By: James Langton
- November 1, 2016 December 19, 2017
- 10:15
Ontario court dismisses appeal in insider trading case
The case stemmed from an OSC ruling in 2015 that the defendants had received inside information concerning pending merger deals
- By: James Langton
- October 31, 2016 December 19, 2017
- 14:33
Unsuitable investments top list of investor complaints to IIROC
Suitability continues to be a major issue as it accounted for half of the prosecutions against individual registrants in 2015
- By: Tessie Sanci
- October 31, 2016 December 19, 2017
- 14:15