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
Latest news in From the Regulators
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
AMF files charges in alleged insider trading scheme
The Quebec regulator is seeking $2.6 million in fines in case involving BCE
- By: James Langton
- December 10, 2015 December 19, 2017
- 14:00
CSA proposes standardized risk classification methodology for funds
The recommendation for both mutual funds and ETFs largely follows the approach that’s already widely in use
- By: James Langton
- December 10, 2015 December 19, 2017
- 12:20
Basel Committee proposes revisions to standardized approach for credit risk
The changes focus on calculating credit risk when determining how much capital banks must set aside
- December 10, 2015 December 19, 2017
- 11:45
FCA report calls for greater protection of inside information
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
- By: James Langton
- December 10, 2015 December 19, 2017
- 11:00
IIROC study finds HFT impacts “mostly positive”
The study did not reveal any concerns that warranted a regulatory response beyond measures already implemented by IIROC
- By: James Langton
- December 9, 2015 December 19, 2017
- 14:30
IIROC suspends and fines advisor for various infractions
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
- By: Tessie Sanci
- December 9, 2015 December 19, 2017
- 12:30
IIROC exempts 44 dealers from CRM2-related reporting requirements
The exemption relates to reporting requirement for firms that have relatively small amounts of client assets held off-book
- By: James Langton
- December 9, 2015 December 19, 2017
- 09:50
BCSC issues lifetime ban against Forex trader
Fines total more than $650,000
- By: IE Staff
- December 8, 2015 December 19, 2017
- 16:30
FSB working to identify financial stability risks at global asset managers
A project is currently underway to assess five areas of vulnerability
- By: James Langton
- December 8, 2015 December 19, 2017
- 15:15
CCMR spells out transition framework
Regulator aims to minimize the impact on market participants and their businesses
- By: James Langton
- December 8, 2015 December 19, 2017
- 14:50
ASC alleges man defrauded Facebook IPO investors
Scheme illegally raised more than $1.5 million, regulator alleges
- By: IE Staff
- December 8, 2015 December 19, 2017
- 09:40
BCSC declines to review IIROC ban
Scott Lower had applied to the commission to review IIROC’s decision to ban him from the industry
- By: James Langton
- December 8, 2015 December 19, 2017
- 07:30
FSB report notes progress on bank risk disclosure
Canadian, U.K. banks have made the most progress in adopting recommendations of the Enhanced Disclosure Task Force
- By: James Langton
- December 7, 2015 December 19, 2017
- 11:40
MFDA names new chairman
Steven Donald of Assante is the SRO’s new chairman of the board while Christopher Nicholls takes over the role of vice chairman
- By: Tessie Sanci
- December 7, 2015 December 19, 2017
- 11:00
ESMA seeks retail representation for shareholder advisory group
Group advises ESMA on issues related to prospectuses, transparency, corporate governance and takeover bids
- By: James Langton
- December 7, 2015 December 19, 2017
- 08:30
Octagon Capital declared bankrupt; firm suspended
EY to initiate transfer of customer accounts to other dealers “as soon as possible,” CIPF says
- By: James Langton
- December 7, 2015 December 19, 2017
- 08:00