ESMA fines Fitch Ratings
Credit rating agency sanctioned for rule breaches
- By: James Langton
- July 21, 2016 December 19, 2017
- 13:00
Latest news in From the Regulators
OSC to review compensation, sales practices
Commission publishes summary report for dealers, advisors and investment fund managers
- By: James Langton
- July 21, 2016 December 19, 2017
- 11:15
U.K. regulator reviews dark pool governance
Operators should be doing more to identify and manage conflicts of interests
- By: James Langton
- July 21, 2016 December 19, 2017
- 10:15
U.K. regulator eyes “regtech” to reduce compliance costs
The Financial Conduct Authority seeks to encourage innovation and to help identify opportunities for the adoption of new technologies
- By: James Langton
- July 20, 2016 December 19, 2017
- 09:30
FINRA sanctions annuity firm for failing to prevent theft
US$1.3 million stolen from an 89-year-old customer’s variable annuity account
- By: James Langton
- July 19, 2016 December 19, 2017
- 14:45
ESMA advises on extension of funds passport to 12 non-EU countries
There are no significant obstacles impeding the application of the passport to Canada and other countries
- By: James Langton
- July 19, 2016 December 19, 2017
- 12:10
Canadian securities regulators recognize three trade repositories
Firms cleared by several provinces to operate derivatives trade repositories
- By: James Langton
- July 18, 2016 December 19, 2017
- 13:30
CSA continuous disclosure reviews find more deficiencies
A new report highlights common deficiencies and illustrates best practices for corporate issuers
- By: James Langton
- July 18, 2016 December 19, 2017
- 11:20
Enhanced disclosure has limited effect on consumers
Regulators must consider wider interventions to improve consumer outcomes, U.K. paper concludes
- By: James Langton
- July 18, 2016 December 19, 2017
- 10:50
EBA launches data collection to support the new prudential framework for investment firms
The data will help craft new, more tailored capital rules for the sector
- By: James Langton
- July 15, 2016 December 19, 2017
- 13:00
OSC launches Office of the Whistleblower
The new program promises to pay rewards of up to $5 million for original information of industry misconduct that results in successful enforcement action
- By: James Langton
- July 14, 2016 December 19, 2017
- 11:20
FCNB to reciprocate national sanctions automatically
Province joins Alberta, Quebec and Nova Scotia in adopting this approach to improving investor protection
- By: James Langton
- July 14, 2016 December 19, 2017
- 10:30
SEC proposes rules to enhance order handling information available to investors
The information should provide investors more transparency
- By: James Langton
- July 13, 2016 December 19, 2017
- 14:15
New Zealand proposals would restrict use of financial advisor title
All forms of financial advice should required to put consumers’ interests first, report says
- By: James Langton
- July 13, 2016 December 19, 2017
- 12:00
Basel Committee publishes revisions to the securitization framework
The revised standard sets out additional criteria for differentiating the capital treatment of “simple, transparent and comparable” securitizations from other sorts of transactions
- By: James Langton
- July 11, 2016 December 19, 2017
- 12:10
New CSA three-year business plan released
Areas highlighted for attention include investor protection, market fairness, enforcement and technology
- By: Patricia Chisholm
- July 7, 2016 December 19, 2017
- 13:25
CSA proposes changes to custody requirements
Proposals include stronger protection for client assets, clarity for EMD activities and relief from certain CRM2 requirements
- By: IE Staff
- July 7, 2016 December 19, 2017
- 11:50
CSA seeks input on proposed derivatives framework
Regulators issue consultation paper
- By: IE Staff
- July 7, 2016 December 19, 2017
- 10:40
CSA highlights business plan achievements
A new report details accomplishments under the regulators’ three-year business plan
- By: IE Staff
- July 6, 2016 December 19, 2017
- 15:10
Regulators issue guidance on possible mail service disruption
Electronic delivery is the most efficient method of delivering documents, IIROC says
- By: IE Staff
- July 4, 2016 December 19, 2017
- 16:30
OSC seeks comment on proposed rule for distributions outside Canada
The proposed rule would provide exemptions from prospectus requirements for distributions of securities outside of the country
- By: IE Staff
- July 4, 2016 December 19, 2017
- 13:00
MFDA proposes minimum proficiency standards for reps to sell ETFs
Under the proposed rule, reps must receive specific training on dealers’ policies and procedures that deal with advising and transacting in ETFs
- By: James Langton
- June 30, 2016 December 19, 2017
- 11:05
Quebec regulators to reciprocate other jurisdictions’ enforcement sanctions
The new measures, which follow a similar move adopted in Alberta last year, are intended to protect investors in Quebec
- By: James Langton
- June 30, 2016 December 19, 2017
- 10:50
Fed puts U.S. banks under scrutiny
Capital review gives 30 institutions green light, but Morgan Stanley must submit new plan
- By: James Langton
- June 29, 2016 December 19, 2017
- 16:55
OSFI releases new guidance for managing operational risk
The new, principles-based guideline formalizes OSFI’s expectations for banks and insurers to address these risks
- By: James Langton
- June 29, 2016 December 19, 2017
- 14:10