FCA seeks input on “RegTech”
U.K. consultation paper calls for feedback on supporting new technology to help financial firms meet their regulatory obligations
- By: James Langton
- November 23, 2015 December 19, 2017
- 11:00
Latest news in From the Regulators
Identity theft leads to advisor’s suspension
Deception reveals compliance violations
- By: James Langton
- November 23, 2015 December 19, 2017
- 10:15
Amendments harmonize N.S. securities legislation to national standard
NSSC gets more tools to conduct compliance and enforcement activities
- By: IE Staff
- November 20, 2015 December 19, 2017
- 12:00
Nova Scotia makes changes to PRPP legislation
The amendments allow money from PRPPs to flow into other retirement savings plans
- By: IE Staff
- November 19, 2015 December 19, 2017
- 13:45
IIROC, CSF collaborate to strengthen investor protection
The two investment industry SROs sign a disciplinary information-sharing agreement in Quebec
- By: James Langton
- November 19, 2015 January 22, 2018
- 09:30
SEC proposes new rules for dark pools
Proposals aimed at delivering greater transparency to investors
- By: James Langton
- November 19, 2015 December 19, 2017
- 07:30
FINTRAC sanctions Montreal firm
Compliance deficiencies found at money services business
- By: James Langton
- November 18, 2015 December 19, 2017
- 16:35
FCA to review competition in U.K. asset management industry
The study will aim to understand exactly how asset managers compete to deliver value
- By: James Langton
- November 18, 2015 December 19, 2017
- 11:40
Banks to face higher capital requirements: report
Proposed revisions to market risk rules would increase the overall minimum capital requirement under the Basel III capital rules
- By: James Langton
- November 18, 2015 December 19, 2017
- 11:20
IIROC extends deadline for unwinding existing trustee, executorship and POA arrangements
Investment dealers get nine-month extension
- By: James Langton
- November 18, 2015 December 19, 2017
- 10:40
SEC charges two Canadians in alleged pump and dump scheme
The U.S. regulator alleges the scheme touted the stock of Jammin’ Java Corp., a company started by a son of the late Bob Marley
- By: James Langton
- November 17, 2015 December 19, 2017
- 15:25
Financial firms in New Zealand falling short of expectations
Although improvements have been made, regulator finds that plenty remains to be done to reach expected standard of conduct
- By: James Langton
- November 17, 2015 December 19, 2017
- 12:45
Ontario pair charged with fraud, unregistered trading and illegal distribution
Approximately $1.2 million was raised from the sale of I-On securities
- By: James Langton
- November 16, 2015 December 19, 2017
- 14:01
U.S. charges former SEC compliance examiner
Former staffer allegedly made for false holding statements about prohibited stocks
- By: James Langton
- November 16, 2015 December 19, 2017
- 12:15
ASC withdraws proceedings
Three promoters agree to pay $100,000 each to settle allegations
- By: IE Staff
- November 13, 2015 December 19, 2017
- 12:40
U.K. agency charges 10 with EURIBOR manipulation
Serious Fraud Office investigation continues
- By: James Langton
- November 13, 2015 December 19, 2017
- 11:00
Risk-assessment tools inadequate, study finds
Questionnaires consist of too few and poorly worded questions
- By: James Langton
- November 12, 2015 December 19, 2017
- 14:30
MFDA bans two former W.H. Stuart Mutuals advisors
The SRO’s staff proved allegations that the two former reps failed to co-operate with the MFDA’s investigation into the failed mutual fund dealer
- By: James Langton
- November 12, 2015 December 19, 2017
- 12:15
Regulators release detailed gender equity data
The goal is to encourage further dialogue on the representation of women on corporate boards and in senior management
- By: James Langton
- November 12, 2015 December 19, 2017
- 12:00
N.Y. regulator considering new cyber security rules
Letter calls for co-ordination between state and federal agencies “
- By: James Langton
- November 11, 2015 December 19, 2017
- 14:30
European regulators propose new rules on disclosure for retail investors
Consultation paper sets out requirements on the content and presentation of retail disclosure documents
- By: James Langton
- November 11, 2015 December 19, 2017
- 12:50
Scotiabank to address U.S. anti-money laundering compliance deficiencies
The bank has 60 days to submit a plan for enhancing oversight
- By: James Langton
- November 11, 2015 December 19, 2017
- 10:30
OSC approves no-contest settlement with Quadrus
Quadrus to pay clients $8 million in compensation
- By: James Langton
- November 10, 2015 December 19, 2017
- 14:45
FCA to launch “regulatory sandbox”
The goal is to enhance financial services innovation
- By: James Langton
- November 10, 2015 December 19, 2017
- 10:15
IOSCO report sets out custody standards for investment funds
The report also identifies some of the key risks associated with the custody of assets
- By: James Langton
- November 10, 2015 December 19, 2017
- 10:00