U.K. agency charges 10 with EURIBOR manipulation
Serious Fraud Office investigation continues
- By: James Langton
- November 13, 2015 December 19, 2017
- 11:00
Latest news in From the Regulators
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
G20 financial regulatory reforms uneven: FSB
Reforms to bank capital and liquidity are ahead of schedule, whereas reforms to over-the-counter (OTC) derivatives markets are falling behind
- By: James Langton
- November 9, 2015 December 19, 2017
- 15:15
NASAA cautions investors about “the next big thing”
Regulators shine spotlight on marijuana-related investments, binary options and Digital Currency
- By: James Langton
- November 9, 2015 December 19, 2017
- 13:40
FSB proposes creation of disclosure task force on climate-related risks
Financial institutions could be encouraged to disclose their exposures to climate risks and their efforts to manage those exposures
- By: James Langton
- November 9, 2015 December 19, 2017
- 11:50
IIROC seeks to suspend two brokers
Paul Azeff and Korin Bobrow are still serving clients pending their appeal of an OSC ban
- By: James Langton
- November 9, 2015 December 19, 2017
- 11:15
FSB issues TLAC requirements for “too big to fail” banks
The requirements aim to ensure that G-SIBs have sufficient loss-absorbing and recapitalization capacity to allow for an orderly resolution if they were to fail
- By: James Langton
- November 9, 2015 December 19, 2017
- 10:20
OSC to consider Quadrus settlement
Quadrus self-reported that its funds indirectly overcharged certain clients
- By: James Langton
- November 6, 2015 December 19, 2017
- 16:15
IOSCO addresses audit firm transparency
New report includes a guide for audit firm transparency reporting
- By: James Langton
- November 6, 2015 December 19, 2017
- 15:10
FATF outlines best practices for non-profits
Certain non-profits, such as charities, non-profits tmay be particularly vulnerable to money laundering abuse
- By: James Langton
- November 6, 2015 December 19, 2017
- 14:55
CTFC imposes record penalties in fiscal 2015
The U.S. derivatives regulator collected more than US$2.8 billion in penalties
- By: James Langton
- November 6, 2015 December 19, 2017
- 13:10
SEC awards whistleblower more than US$325,000
The award could have been higher had the whistleblower not hesitated
- By: James Langton
- November 5, 2015 December 19, 2017
- 15:30
OSC seeks comment on proposed changes to trade repositories rule
The goal is to increase transparency and efficiency in the OTC derivatives market while aiming to preserve the anonymity of counterparties
- By: James Langton
- November 5, 2015 December 19, 2017
- 14:20
IIROC proposes amendments to membership disclosure rules
The new proposals would require dealers to include the IIROC logo on all client account statements
- By: James Langton
- November 5, 2015 December 19, 2017
- 13:40
Provinces publish crowdfunding exemption
New regime will expand ways for small companies to raise capital from a large number of investors online
- By: James Langton
- November 5, 2015 December 19, 2017
- 12:30
Ontario regulators should be merged: report
The expert panel reviewing the mandates of FSCO and DICO recommends the two organizations be replaced by a new Financial Services Regulatory Authority
- By: James Langton
- November 5, 2015 December 12, 2018
- 11:40
Deutsche Bank to pay US$258 million for violating U.S. sanctions
Bank to fire six in settlement with U.S. regulations
- By: The Associated Press
- November 4, 2015 December 19, 2017
- 14:20