Singapore regulator establishes fintech innovation lab
New lab underscores MAS’ commitment to promoting a culture of innovation in the financial sector
- By: James Langton
- August 24, 2016 December 19, 2017
- 09:00
Latest news in From the Regulators
BCSC panel bans, fines man for fraud
Thomas Williams and the Global Group of Companies raised $11.7 million from 123 investors
- By: James Langton
- August 23, 2016 December 19, 2017
- 13:15
IIROC fees to rise
The self-regulatory organization releases its annual report for 2015-2016
- By: James Langton
- August 23, 2016 December 19, 2017
- 11:00
SEC warns investors about possible scams connected to natural disasters
Fraudsters may also target individuals receiving compensation from insurance companies
- By: James Langton
- August 22, 2016 December 19, 2017
- 16:00
CSA to measure impact of point of sale, CRM2
The research will cover activity from 2016 through 2019 and is expected to be completed by 2021
- By: James Langton
- August 22, 2016 December 19, 2017
- 11:00
CFTC flags alleged rule violations
U.S. derivatives regulator charges two firms
- By: James Langton
- August 19, 2016 December 19, 2017
- 17:00
FINTRAC assessing vulnerability of fintech startups
Many startups may not realize they are required to register with the anti money-laundering agency
- By: Alexandra Posadzki
- August 18, 2016 December 19, 2017
- 14:15
Fraudster sentenced to 27 months in prison
Roberto Castano ordered to pay $1.5 million in restitution to victims of Ponzi scheme
- By: James Langton
- August 18, 2016 December 19, 2017
- 13:15
IOSCO consults on investment fund terminations
Global regulators aim increase investor protection
- By: James Langton
- August 18, 2016 December 19, 2017
- 11:10
CSA seeks comment on move to T+2 settlement cycle
A shorter cycle is expected to mitigate risk in securities clearing and settlement
- By: James Langton
- August 18, 2016 December 19, 2017
- 09:50
Canadian gets jail time in U.S. penny stock fraud case
Sandy Winick sentenced to 78 months in prison and ordered to pay US$7.4 million
- By: James Langton
- August 17, 2016 December 19, 2017
- 15:15
OSFI delays deadline for bank disclosure requirements
The delay will allow banks to focus on implementing certain new accounting standards first
- By: James Langton
- August 17, 2016 December 19, 2017
- 11:30
SEC sanctions firm over whistleblower awards waiver
U.S. health insurer introduced a provision that would deter departing employees from filing applications for SEC whistleblower awards
- By: James Langton
- August 16, 2016 December 19, 2017
- 14:00
Reports advance regulatory agenda on central counterparties
Guidance designed to bolster supervision and oversight of CCPs
- By: James Langton
- August 16, 2016 December 19, 2017
- 13:30
BCSC panel permanently bans B.C. man
Investors harmed by misconduct
- By: James Langton
- August 16, 2016 December 19, 2017
- 13:00
Basel Committee guidance outlines disclosure requirements
The document addresses issues such as risk management and risk-weighted asset disclosures, among various other things
- By: James Langton
- August 12, 2016 December 19, 2017
- 12:05
European regulators target virtual currency firms
The plan is to bring these firms under existing anti-money laundering regimes to prevent criminals and terrorists from using them
- By: James Langton
- August 11, 2016 December 19, 2017
- 14:35
SEC sanctions firm for violating laws related to its whistleblower program
BlueLinx must pay a US$265,000 penalty for requiring outgoing employees to waive their rights to monetary rewards if they file a complaint
- By: James Langton
- August 10, 2016 December 19, 2017
- 15:50
Australian regulator finds equity markets are getting cleaner
A new report from ASIC finds that there appear to be fewer leaks ahead of market-moving announcements
- By: James Langton
- August 10, 2016 December 19, 2017
- 08:40
B.C. rep loses licence over past conviction
Insurance rep failed to disclose conviction that occurred in Hong Kong
- By: James Langton
- August 8, 2016 December 19, 2017
- 15:50
Australian regulators issue report on enforcement of investor protection reforms
Report sheds light on effects of a new best interests standard
- By: James Langton
- August 8, 2016 December 19, 2017
- 12:20
Deutsche Bank sanctioned over failure to supervise squawk boxes
FINRA levied a fine of US$12.5 million after years of warnings about leaks of confidential information
- By: James Langton
- August 8, 2016 December 19, 2017
- 11:15
FSB examining corporate governance
International financial monitoring body to publish report in 2017
- By: James Langton
- August 8, 2016 December 19, 2017
- 11:10
No evidence liquidity deteriorated in corporate bond markets: IOSCO
Although a new report finds little evidence of decline in liquidity, it did find issues with data reporting and public disclosure requirements
- By: James Langton
- August 5, 2016 December 19, 2017
- 11:10