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…
Document aims to clarify firms’ obligations under the first phase of the Client Relationship Model rules
Report features 51 recommendations and calls on FINRA to invest more heavily on the arbitrators that hear disputes
The proposals set out five types of testing that the U.S. derivatives regulator believes are essential to a program of sound system safeguards
Global banks considered to be systemically important will not meet the deadline that required them to implement principles in full in 2016
IOSCO survey reveals major concerns among global industry participants
The revisions are intended to strengthen investor protection and increase market resilience
Firm failed to prevent day traders based in China from breaching securities laws
Report recommends that investment firms be categorized to distinguish between systemic, non-systemic, and very small firms
U.K. discussion paper seeks feedback on policies that may be hindering social investment, and appropriate investor protection
The regulator alleges that Oasis day traders in China breached securities law between November 2013 and December 2014
Consultation paper suggests the current comparability of the data being reported is not adequate and access to those data isn't good enough
Regulator scraps anti-avoidance provision in favour of revised guidance
Investors risk becoming victimized for a second time
Several areas of potential emerging risk merit further study
The Quebec regulator is seeking $2.6 million in fines in case involving BCE
The recommendation for both mutual funds and ETFs largely follows the approach that’s already widely in use
The changes focus on calculating credit risk when determining how much capital banks must set aside
Although financial services firms are aware of the risks that accompany inside information, they need to do more to ensure the risks are handled properly
The study did not reveal any concerns that warranted a regulatory response beyond measures already implemented by IIROC
Robert Lewis has to pay a fine of $175,000 for five infractions committed between 2008 and 2012 when he was an advisor with Manulife Securities
The exemption relates to reporting requirement for firms that have relatively small amounts of client assets held off-book
Fines total more than $650,000
A project is currently underway to assess five areas of vulnerability
Regulator aims to minimize the impact on market participants and their businesses