Eric Schneiderman is “deeply troubled” that Trump’s transition team is looking to dismantle state consumer and investor protection statutes
Clearinghouses have the resources to withstand a variety of extreme market price changes across a wide range of products
The regulator altered several aspects of the plan to adopt a consolidated audit trail in response to public comments and recommendations from the SROs
The province formally introduced official plans for FSRA and reiterated its support for establishing the Co-operative Capital Markets Regulator
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…
The ESMA is proposing to postpone the phase-in period for counterpartines with a limited volume of dertivatives
Policymakers call for simpler cost disclosure
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
The new regulatory framework aims to clarify the behaviours and standards expected of benchmark administrators and contributors
The firm admitted to shortcomings in its oversight of several advisors after they ran into regulatory trouble of their own
The event is expected to produce apps that provide solutions to emerging issues in several notable areas
IFRS 9 introduces a new impairment model based on expected credit losses, and introduces new requirements on the classification of financial assets
The move is being made in anticipation of “the potential for increased volatility” resulting from Donald Trump’s election victory
The new financial services regulatory authority will replace FSCO and DICO and “modernize and strengthen the regulator of financial services and pensions”
The half-day meeting will feature two panel discussions
A new report says these sorts of services create benefits and challenges for payments systems
Testing will begin shortly, U.K. regulator says
Discussion paper sets out three alternatives
The SRO points out that the advice these firms are providing is helping to fill the “advice gap” some clients may be experiencing
The province is the latest to join the agreement, which Alberta, B.C., Ontario and Quebec originally signed on to in 2014
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
As part of the agreement, the two organizations will be able to improve information sharing and co-operation to protect investors
The regulators have agreed to support startups that are seeking to open up shop in one another’s markets