SEC proposes rule reforms for U.S. mutual funds and ETFs
Comprehensive reforms will require the adoption of measures for funds to manage their liquidity risk
- By: James Langton
- September 22, 2015 December 19, 2017
- 13:50
Latest news in From the Regulators
Despite decline in enforcement activity, U.S. state regulators remain busy
Unregistered securities distributions and unregistered investment professionals are still the most common complaints
- By: James Langton
- September 22, 2015 December 19, 2017
- 13:35
CSI to remain IIROC’s sole provider of proficiency education until 2020
IIROC is adopting a new model that will see it award the job of delivering industry education to a single provider for five-year terms
- By: James Langton
- September 22, 2015 December 19, 2017
- 11:10
Women representation on boards still very low, but growing
The results of research on Alberta-based issuers reveal that women representation on boards varies greatly depending on a company’s size
- By: James Langton
- September 22, 2015 December 19, 2017
- 10:55
OSC’s CRR branch dealing with slew of regulatory reforms
New report suggests that the compliance and registrant regulation branch is analyzing approaches for creating a best interest standard
- By: James Langton
- September 21, 2015 December 19, 2017
- 13:45
Canadian lawyer settles U.S. charges in microcap scheme
Two U.S. audit firms and seven audit professionals also agreed to settle the SEC’s charges
- By: James Langton
- September 18, 2015 December 19, 2017
- 13:20
Regulators approve changes to trading rules
With the launch of TSX Alpha Exchange, an unprotected market will be operating alongside protected markets for the first time
- By: James Langton
- September 18, 2015 December 19, 2017
- 13:00
CFTC defines Bitcoin as a commodity
U.S. regulator concludes first action against an unregistered Bitcoin options trading platform
- By: James Langton
- September 18, 2015 December 19, 2017
- 10:30
FINRA moves to help firms better protect seniors
Proposed rule would permit firms to place temporary holds on accounts in cases of suspected financial exploitation
- By: James Langton
- September 17, 2015 December 19, 2017
- 15:50
Mystery shop highlights investor difficulties with advisors
Shortcomings were noted in several areas, including suitability, awareness of advisor credentials and fee disclosure
- By: James Langton
- September 17, 2015 December 19, 2017
- 13:30
CSA seeks comments on enhancing fixed-income transparency
Regulators propose making corporate debt trading publicly available
- By: James Langton
- September 17, 2015 December 19, 2017
- 10:15
FINRA releases guidance on liquidity risk management practices
Guidance highlights best practices at U.S. brokerage firms
- By: James Langton
- September 16, 2015 December 19, 2017
- 10:50
IOSCO identifies best practices for investment risk education
Report recommends initiatives that focus on influencing retail investor attitudes, behavior and knowledge
- By: James Langton
- September 15, 2015 December 19, 2017
- 13:50
FCA should rate firms’ behaviour, says consumer panel
A simple rating would help consumers decide which firms are likely to treat them well
- By: James Langton
- September 15, 2015 December 19, 2017
- 10:20
Global banks in compliance with Basel III minimum capital standards: report
However, banks are still falling short of the higher target levels
- By: James Langton
- September 15, 2015 December 19, 2017
- 09:30
Ukrainian traders to pay US$30M to settle newswire hacking case
Jaspen Capital Partners and its CEO agree to return funds to settle SEC allegations
- By: James Langton
- September 14, 2015 December 19, 2017
- 15:35
MFDA publishes CRM2 implementation guide
Fund dealers face a number of decisions
- By: James Langton
- September 14, 2015 December 19, 2017
- 15:00
OSC denies registration for Pro-Financial founder
Stuart McKinnon had sought an exemption to register with De Thomas Financial
- By: James Langton
- September 14, 2015 December 19, 2017
- 11:50
European regulators raise market risk indicator to highest level
The increase is due to recent market volatility
- By: James Langton
- September 14, 2015 December 19, 2017
- 10:15
OSFI extends deadline for G-SIB public disclosure requirements
The change is intended to accommodate the October year-ends of Canada’s big banks
- By: James Langton
- September 14, 2015 December 19, 2017
- 09:15
IIROC suspends Edgecrest Capital
Firm ordered to cease dealing with the public
- By: IE Staff
- September 11, 2015 December 19, 2017
- 13:30
IIROC to host public forum on high frequency trading
SRO publishes final academic paper on impact of HFT
- By: IE Staff
- September 11, 2015 December 19, 2017
- 10:00
IIROC members approve board of directors
Board re-appoints Marianne Harris as chairwoman
- By: IE Staff
- September 11, 2015 December 19, 2017
- 09:00
OSC Dialogue 2015 features prominent international regulators
October event coincides with IOSCO meeting in Toronto
- By: James Langton
- September 10, 2015 December 19, 2017
- 15:00
Stronger ability to collect fines a priority for IIROC
Rule breakers often evade payment by simply leaving the securities industry
- By: James Langton
- September 10, 2015 December 19, 2017
- 10:50