Court sides with OSC, upholds advisor’s suspension
The commission’s decision was “justified, transparent and intelligible,” court says
- By: James Langton
- October 5, 2016 December 19, 2017
- 13:30
Latest news in From the Regulators
ESMA consults on product governance guidelines
Proposed guidelines aim to safeguard investors
- By: James Langton
- October 5, 2016 December 19, 2017
- 09:00
Task forces begin review of U.S. payments system
The two groups are focused on faster payments and enhanced payment system security
- By: James Langton
- October 4, 2016 December 19, 2017
- 15:25
NASAA consults on electronic documents, signatures
State regulators have published a proposed policy on the use of electronic offerings, and electronic signatures
- By: James Langton
- October 4, 2016 December 19, 2017
- 15:15
IIROC issues cybersecurity report cards
SRO aims to alert dealers’ to possible weaknesses in their cybersecurity programs
- By: James Langton
- October 3, 2016 December 19, 2017
- 15:10
ESMA proposes consolidated tape for non-equity products
Consultation period closes Dec. 5
- By: James Langton
- October 3, 2016 December 19, 2017
- 10:15
MFDA hearing panel bans, fines advisor $150,000
Keith Lorne Davis committed several infractions, including borrowing from a client and engaging in outside business activity from his dealer firm
- By: Tessie Sanci
- October 3, 2016 December 19, 2017
- 10:10
Emerging market regulators seek to strengthen corporate governance
Report focuses on board composition, remuneration and incentive structures, and risk management and internal controls
- October 3, 2016 December 19, 2017
- 10:00
CSA issues guidance on new exempt-distribution reports
The guidance aims to address the unintended consequences of new requirements that came into effect this past April
- By: James Langton
- September 29, 2016 December 19, 2017
- 11:25
AMF officials to head major IOSCO committees
Two of Quebec’s senior regulators to share their expertise
- By: James Langton
- September 29, 2016 December 19, 2017
- 11:20
Jane Norberg named chief of SEC Whistleblower Office
The program has awarded more than US$100 million to whistleblowers
- By: James Langton
- September 29, 2016 December 19, 2017
- 09:35
ESMA consults on future rules for financial benchmarks
Proposed standards aim to help to restore trust both in benchmarks and financial markets
- By: James Langton
- September 29, 2016 December 19, 2017
- 09:05
SEC proposes shorter settlement cycle to reduce risk
Proposal shortens settlement cycle from three business days to two
- By: James Langton
- September 29, 2016 December 19, 2017
- 08:50
B.C. judge gives former notary who stole more than $100 million six years in prison
Ponzi scheme ran by Rashida Samji collected money ranging from $50,000 to $12 million from investors over a nine-year period
- By: Camille Bains
- September 28, 2016 December 19, 2017
- 16:25
SEC fines UBS US$15 million for inadequate training
Reps made unsuitable recommendations in the sale of RCNs to retail clients
- By: James Langton
- September 28, 2016 December 19, 2017
- 13:25
Large issuers leading the way in gender diversity, CSA finds
However, more work needs to be done as the total percentage of board seats occupied by women is just 12% vs 11% a year ago
- By: James Langton
- September 28, 2016 December 19, 2017
- 11:25
EBA publishes final guidelines on remuneration of sales staff
European guidelines aim to protect consumers by improving links between the remuneration of sales staff and the fair treatment of retail investors
- By: James Langton
- September 28, 2016 December 19, 2017
- 09:35
SEC to host fintech innovation forum
Panels will discuss issues such as blockchain technology, automated investment advice and more
- By: James Langton
- September 28, 2016 December 19, 2017
- 08:45
IIROC receives authority in PEI to enforce regulatory settlement
The court order is part of IIROC’s bid to enhance the collection of the SRO’s enforcement sanctions
- By: James Langton
- September 27, 2016 December 19, 2017
- 15:45
OSC to launch fintech innovation hub
In addition, the regulator’s whistleblower program, introduced this summer, has already received more than 30 tips from prospective whistleblowers
- By: James Langton
- September 27, 2016 December 19, 2017
- 14:15
CSA puts focus on cybersecurity
Regulators are looking to increase cybersecurity in Canada’s capital markets as cyber threats have evolved and the potential for damage is rising
- By: James Langton
- September 27, 2016 December 19, 2017
- 11:00
Final guidance introduced for tackling financial inclusion
Global banking regulators aims to spell out rules for firms dealing with unserved or underserved clients
- By: James Langton
- September 27, 2016 December 19, 2017
- 09:30
Fed seeks comments on proposal for stress testing rules
Proposed rule would ease stress testing requirements for firms with less complex operations
- By: James Langton
- September 26, 2016 December 19, 2017
- 16:00
SEC charges Merrill Lynch with trading controls failures
Erroneous orders causing numerous “mini-flash crashes”
- By: James Langton
- September 26, 2016 December 19, 2017
- 14:20
OSC seeks members for registrant advisory committee
The committee provides feedback on issues that impact registered firms, including registration and compliance-related topics
- By: James Langton
- September 26, 2016 December 19, 2017
- 11:20