Fed payments task force identifies key priorities
Survey seeks comments on efforts to enhance the safety, security and resiliency of the U.S. payments system
- By: James Langton
- October 25, 2016 December 19, 2017
- 15:15
Latest news in From the Regulators
MFDA bans advisor for 10 years
The advisor, who has also been fined $50,000, borrowed money from a client and failed to co-operate fully with the regulator’s investigation
- By: Tessie Sanci
- October 24, 2016 December 19, 2017
- 11:25
FSCO suspends operations of three firms involved in syndicated mortgages
The Ontario regulator has laid the hammer down on Tier 1 Transaction Advisory Services, Tier 1 Mortgage and First Commonwealth Mortgage for various infractions
- By: Fiona Collie
- October 24, 2016 December 19, 2017
- 10:55
OSC introduces fintech innovation hub and regulatory sandbox
OSC LaunchPad aims to help fledgling fintech companies navigate the complex world of securities laws and help them get to market faster
- By: James Langton
- October 24, 2016 December 19, 2017
- 09:20
IIROC outlines next steps to address concerns of small-cap issuers
The self-regulatory organization plans to focus on issues surrounding short selling
- By: James Langton
- October 20, 2016 December 19, 2017
- 13:50
OSC requests applications for Securities Proceedings Advisory Committee
The SPAC advises the commission on a variety of policy and procedural initiatives relating to proceedings before the OSC’s administrative tribunal
- By: James Langton
- October 20, 2016 December 19, 2017
- 12:00
CSA aims to raise awareness of CRM2 with new animated videos
Securities regulators have produced a series of videos designed to help demystify certain aspects of the CRM2 reforms for clients
- By: James Langton
- October 19, 2016 December 19, 2017
- 14:00
FINRA gets approval to require firms to report Treasury transactions
The new reporting requirement is intended to enhance regulatory oversight of the U.S. Treasury market
- By: James Langton
- October 19, 2016 December 19, 2017
- 13:30
Policymakers propose harmonization of OTC derivatives data
IOSCO, CPMI release consultation paper
- By: James Langton
- October 19, 2016 December 19, 2017
- 11:00
Regulators having trouble meeting some Basel III deadlines
Basel Committee issues eleventh progress report
- By: James Langton
- October 19, 2016 December 19, 2017
- 08:50
U.K. regulator proposes investment banking reforms
FCA will work with the industry to develop standards for underwriting league tables
- October 18, 2016 December 19, 2017
- 12:40
OSC plans roundtable on proxy voting reforms
CSA protocols intended to improve the accuracy, reliability and transparency of shareholder votes
- By: James Langton
- October 18, 2016 December 19, 2017
- 10:30
FINRA fines Merrill Lynch US$2.8 million
The is being sanctioned in connection with trade reporting failures and related supervisory violations
- By: James Langton
- October 18, 2016 December 19, 2017
- 10:10
IIROC hearing panel bans advisor for five years due to various infractions
Robert Adrian Crandall has also been fined $150,000 and ordered to pay $35,000 in costs
- By: James Langton
- October 17, 2016 December 19, 2017
- 16:15
Phase two of bond market transparency initiative takes effect Nov. 1
IIROC issues reminder to dealers
- By: James Langton
- October 17, 2016 December 19, 2017
- 14:35
Australian regulators continue to review ASX trading outage
The ASIC’s ongoing review will help determine whether any changes could help the market and its users function more effectively
- By: James Langton
- October 14, 2016 December 19, 2017
- 10:30
SEC steps up regulation of U.S. asset-management business
New rule will enhance reporting requirements and bolster liquidity risk management obligations among mutual funds and ETFs
- By: James Langton
- October 13, 2016 December 19, 2017
- 15:50
IIROC proposes new rules on best execution
The amendments to the trading rules and the dealer rules would consolidate the existing requirements into a single rule on best execution
- By: James Langton
- October 13, 2016 December 19, 2017
- 12:15
MFDA hearing panel bans, fines rep for charging clients additional fees
Charles Albert Martin “disregarded directives” from his dealer to stop charging service fees to clients, or providing services outside his dealer
- By: James Langton
- October 13, 2016 December 19, 2017
- 10:35
SEC imposes US$9.5 million penalty on Deutsche Bank Securities
The U.S. regulator said the bank failed to properly safeguard information generated by its analysts
- By: James Langton
- October 13, 2016 December 19, 2017
- 07:35
Fund rep banned, fined over exempt-market losses
Investors lost $8.8 million after being referred to firm that subsequently want bankrupt
- By: James Langton
- October 12, 2016 December 19, 2017
- 10:30
Global banking regulators revise loss absorbing rules
Final requirements designed to limit contagion in the financial system take effect in 2019
- By: James Langton
- October 12, 2016 December 19, 2017
- 09:35
SEC files a record 868 enforcement actions in 2016
The U.S. regulator also obtained judgments and orders for more than US$4 billion in disgorgement and penalties.
- By: James Langton
- October 11, 2016 December 19, 2017
- 13:20
ESMA issues new guidance on the sale of speculative investment products to retail investors
The complexity speculative products means it may be difficult for the majority of retail investors to understand the risks involved
- By: James Langton
- October 11, 2016 December 19, 2017
- 10:45