IIROC suspends Jacob Securities
Clients are advised to contact the firm’s carrying broker directly
- By: James Langton
- December 18, 2015 December 19, 2017
- 16:15
Latest news in From the Regulators
Compliance Calendar for Advisors
New this week: Cybersecurity; Investor protection reforms
- By: IE Staff
- December 18, 2015 December 19, 2017
- 15:50
Report outlines best practices regarding seniors and DSC mutual funds
MFDA compliance review finds lack of consistency across mutual fund dealers
- By: James Langton
- December 18, 2015 December 19, 2017
- 15:35
MFDA mulls expanded CRM2 disclosure
The regulator is seeking feedback on whether to include costs imposed by fund managers
- By: James Langton
- December 18, 2015 December 19, 2017
- 15:25
J.P. Morgan to pay US$267 million for disclosure failures: SEC
Wealth management subsidiaries fail to disclose conflicts of interest
- By: James Langton
- December 18, 2015 December 19, 2017
- 14:05
FINRA fines Fidelity Brokerage Services US$1 million for supervisory failures
Firm settles allegations it failed to detect fraud targeting seniors
- By: James Langton
- December 18, 2015 December 19, 2017
- 13:00
Global banking regulators issue guidance on loan losses
Principles set out supervisory expectations for banks
- By: James Langton
- December 18, 2015 December 19, 2017
- 10:15
NASAA launches seniors-focused website
ServeOurSeniors.org provides seniors-related resources investors, caregivers, the industry and policymakers
- By: James Langton
- December 17, 2015 December 19, 2017
- 16:55
Fund managers may face guidance on managing liquidity
IOSCO report examines examines investment fund liquidity management tools in 26 jurisdictions around the world
- By: James Langton
- December 17, 2015 December 19, 2017
- 11:15
Freeze order issued against Quebec insurance rep
Suspension follows AMF investigation
- By: James Langton
- December 17, 2015 December 19, 2017
- 10:30
ESMA sees continued high levels of risk in 2016 financial markets
Elevated market risks driven by low interest rates, high asset values, the potential spill-over from heightened emerging market risks, and fiscal and political developments within…
- By: James Langton
- December 17, 2015 December 19, 2017
- 10:00
Revised IIROC CRM FAQ document addresses suitability
Document aims to clarify firms’ obligations under the first phase of the Client Relationship Model rules
- By: James Langton
- December 17, 2015 December 19, 2017
- 07:30
FINRA task force recommends improving securities arbitration system
Report features 51 recommendations and calls on FINRA to invest more heavily on the arbitrators that hear disputes
- By: James Langton
- December 16, 2015 December 19, 2017
- 16:05
CFTC approves proposed enhanced rules on cybersecurity
The proposals set out five types of testing that the U.S. derivatives regulator believes are essential to a program of sound system safeguards
- By: James Langton
- December 16, 2015 December 19, 2017
- 15:30
Basel Committee report suggests banks will fail to meet key deadline
Global banks considered to be systemically important will not meet the deadline that required them to implement principles in full in 2016
- By: James Langton
- December 16, 2015 December 19, 2017
- 12:10
Harmful conduct is top risk: report
IOSCO survey reveals major concerns among global industry participants
- By: James Langton
- December 16, 2015 December 19, 2017
- 12:00
FCA issues consultation paper on MiFID II reforms
The revisions are intended to strengthen investor protection and increase market resilience
- By: James Langton
- December 15, 2015 December 19, 2017
- 12:15
OSC sanctions Oasis, Pang
Firm failed to prevent day traders based in China from breaching securities laws
- By: James Langton
- December 14, 2015 December 19, 2017
- 17:30
EU regulators recommend distinct rules for large and small investment firms
Report recommends that investment firms be categorized to distinguish between systemic, non-systemic, and very small firms
- By: James Langton
- December 14, 2015 December 19, 2017
- 13:15
FCA calls for views on social investments
U.K. discussion paper seeks feedback on policies that may be hindering social investment, and appropriate investor protection
- By: James Langton
- December 14, 2015 December 19, 2017
- 11:15
OSC accuses firm with failing to prevent market manipulation
The regulator alleges that Oasis day traders in China breached securities law between November 2013 and December 2014
- By: James Langton
- December 11, 2015 December 19, 2017
- 12:40
ESMA proposes rule changes to improve quality of data
Consultation paper suggests the current comparability of the data being reported is not adequate and access to those data isn't good enough
- By: James Langton
- December 11, 2015 December 19, 2017
- 11:45
IIROC shifts tactics in stemming the flow to U.S. dark pools
Regulator scraps anti-avoidance provision in favour of revised guidance
- By: James Langton
- December 10, 2015 December 19, 2017
- 14:50
NASAA cautions fraud victims about third-party asset recovery companies
Investors risk becoming victimized for a second time
- By: James Langton
- December 10, 2015 December 19, 2017
- 14:30
U.S. corporate bond liquidity healthy by most measures: FINRA
Several areas of potential emerging risk merit further study
- By: James Langton
- December 10, 2015 December 19, 2017
- 14:25