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
Latest news in From the Regulators
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
ASC names Tom Cotter interim chairman
Bill Rice retiring at the end of the month
- By: James Langton
- September 9, 2015 December 19, 2017
- 14:15
IIROC hearing to consider Edgecrest membership suspension
The firm has terminated its employees and is winding up its business
- By: James Langton
- September 9, 2015 December 19, 2017
- 12:55
Decline in market liquidity poses risks for European banks
Financial firms need to step up efforts, regulators say
- By: James Langton
- September 9, 2015 December 19, 2017
- 09:50
OSC announces MSAC members for 2015-17
The Market Structure Advisory Committee is a source of valuable industry feedback for the regulator
- By: IE Staff
- September 9, 2015 December 19, 2017
- 09:25
IIROC fines Leede Financial, branch manager
Hearing panel finds supervisory shortcomings
- By: James Langton
- September 9, 2015 December 19, 2017
- 09:20
MFDA proposes new proficiency rules for planners
Comments sought from industry
- By: James Langton
- September 4, 2015 December 19, 2017
- 12:15
More work to be done on aligning securitization incentives: IOSCO
Some regulators are imposing new requirements on issuers, while others are focusing on investors
- By: James Langton
- September 3, 2015 December 19, 2017
- 11:15
Firms leaving IIROC must pay membership fees
Amendments recognize that dealer fees should be based on the usage of IIROC’s regulatory services
- By: James Langton
- September 3, 2015 December 19, 2017
- 10:20
Messaging apps latest platform for promoting pump-and-dump scams
FINRA alert warns investors to be wary of stock promotions sent through messaging apps
- By: James Langton
- September 2, 2015 December 19, 2017
- 14:30
MFDA issues revised CRM2 FAQ
Guidance spells out how integrated dealers should report their compensation to clients
- By: James Langton
- September 2, 2015 December 19, 2017
- 13:25