IIROC plans micro-cap roundtables
Prospective presenters are invited to submit written proposals outlining specific issues for discussion
- By: James Langton
- April 8, 2016 December 19, 2017
- 14:00
Latest news in From the Regulators
Europe’s financial system faces key risks, report finds
Profitability, increasing interconnectedness of banks and non-bank firms and the growth of emerging markets are the top risks to Europe’s financial firms and markets
- By: James Langton
- April 7, 2016 December 19, 2017
- 15:30
European regulators release final retail disclosure rules for banking, securities and insurance
New regime called “major step forward for consumers”
- By: James Langton
- April 7, 2016 December 19, 2017
- 15:05
U.K. report on asset managers finds deficiencies
FCA calls on management firms to review their practices
- By: James Langton
- April 7, 2016 December 19, 2017
- 14:30
CSA to introduce new harmonized report for exempt distributors
The new reporting process aims to reduce the compliance burden on issuers and bolster oversight by providing regulators with more information
- By: James Langton
- April 7, 2016 January 22, 2018
- 12:20
Regulators monitoring OBSI compensation refusal cases
The Joint Regulators Committee has created a process for OBSI to report possible systemic issues to the regulators
- By: James Langton
- April 7, 2016 December 19, 2017
- 12:00
CSA’s revisions to OPR rule to address inefficiencies and costs
The final amendments to the trading rules will introduce a cap on active trading fees and a methodology for setting data fees
- By: James Langton
- April 7, 2016 December 19, 2017
- 11:10
ESMA finds room for improvement in supervision of retail investment advice
There is scope to strengthen enforcement activities
- By: James Langton
- April 7, 2016 December 19, 2017
- 10:15
Regulators challenged by cyber risk
Cyber attacks may have systemic implications for the entire financial system
- By: James Langton
- April 6, 2016 January 22, 2018
- 16:20
IIROC to increase compliance on compensation-driven conflicts
The SRO says dealers lack a process for identifying reps that recommend products that generate higher revenue when cheaper alternatives exist
- By: James Langton
- April 6, 2016 December 19, 2017
- 12:00
U.S. unveils final version of fiduciary rule
The rule aims to ensure that retirement savers get investment advice in their best interest
- By: James Langton
- April 6, 2016 January 22, 2018
- 09:30
Revisions proposed to Basel III leverage ratio framework
Comments on the proposed revisions are due July 6
- By: James Langton
- April 6, 2016 December 19, 2017
- 08:35
Expert committee calls for regulation of financial planning, statutory duty
New report also recommends a simplified approach to dealing with consumer complaints and a consumer-friendly process for recovering losses
- By: James Langton
- April 5, 2016 November 9, 2019
- 13:25
CFTC awards whistleblower US$10 million
The information provided led to a successful enforcement action by the commission
- By: James Langton
- April 4, 2016 December 19, 2017
- 11:50
Less model reliance should reduce bank ratio variation: Fitch
Reducing banks’ reliance on internal models could boost public confidence in regulatory capital ratios
- By: James Langton
- April 4, 2016 December 19, 2017
- 10:50
Court dismisses appeal in $65-million fraud case targeting B.C. seniors
David Michaels has not paid the BCSC any of the $5.8 million he earned by bilking clients, nor has he paid the $17.5 million fine
- By: Camille Bains
- April 1, 2016 January 22, 2018
- 15:45
FSB to tackle asset management risks
The regulators will launch a public consultation in mid-2016
- By: James Langton
- April 1, 2016 December 19, 2017
- 14:15
Basel report examines variability in banks’ methods to calculate risk-weighted assets
The report sets out best practices for banks to independently validate their models
- By: James Langton
- April 1, 2016 December 19, 2017
- 11:20
U.S. regulator seeks feedback on fintech framework
OCC shares its perspective on responsible innovation in the banking sector
- By: James Langton
- March 31, 2016 December 19, 2017
- 15:00
IIROC report highlights need to strengthen enforcement powers
The total sanctions imposed in 2015 increased year over year, while the collection rate fell
- By: James Langton
- March 31, 2016 January 22, 2018
- 14:00
Regulators mull better aligning the interests of clients and advisors
A CSA consultation paper will be published at the end of April
- By: James Langton
- March 31, 2016 January 22, 2018
- 12:45
CSA seeks comment on proposed proxy voting protocols
The measures aim to increase the accuracy, accountability and reliability of the proxy voting process
- By: James Langton
- March 31, 2016 January 22, 2018
- 11:45
OSFI seeks comment on draft LICAT guideline
The new guideline will replace the existing life insurance capital test guideline
- By: James Langton
- March 31, 2016 January 22, 2018
- 09:50
Insurance regulators relying on MGAs to identify agent misconduct
The ICBC has set up a quasi “help line” inviting MGAs to call the regulator in cases in which they identify a potential problem with…
- By: Megan Harman
- March 31, 2016 December 19, 2017
- 09:00