Promontory to appeal NYDFS regulatory action
The firm has been prohibited from receiving confidential supervisory information
- By: James Langton
- August 5, 2015 December 19, 2017
- 08:55
Latest news in From the Regulators
FINRA sanctions Aegis Capital, executive and top compliance officials
Alleged unregistered penny stock sales and violations of anti-money laundering rules stemmed from supervisory failures
- By: James Langton
- August 4, 2015 December 19, 2017
- 10:50
SEC lays charges in US$114 million Ponzi scheme with Montreal links
A settlement was reached with Allan Voight and his firms, including injunctions and civil penalties
- By: James Langton
- August 4, 2015 December 19, 2017
- 10:40
Canadian charged with securities fraud in U.S.
SEC reveals alleged scheme to conceal ownership of microcap company
- By: James Langton
- August 4, 2015 December 19, 2017
- 09:10
U.K. policy-makers launch sweeping review of financial advice
The review will look for ways to make financial advice work better for consumers and fill the so-called “advice gap”
- By: James Langton
- August 4, 2015 December 19, 2017
- 08:55
FINRA names new governors
U.S. regulator holds annual general meeting
- By: James Langton
- July 30, 2015 December 19, 2017
- 16:15
IOSCO review finds variation among investor disclosure requirements
More research needed to determine whether this creates a cause for concern among regulators
- By: James Langton
- July 30, 2015 December 19, 2017
- 15:25
OSFI proposes revisions to MCCSR Guideline for life insurers
Proposals out for comment until Sept. 4
- By: James Langton
- July 30, 2015 December 19, 2017
- 15:00
NSSC approves settlement with Quadrus
Firm failed to properly supervise mutual fund rep
- By: James Langton
- July 30, 2015 December 19, 2017
- 14:40
IOSCO reports progress on derivatives market reforms
Many jurisdictions are still in the process of amending their regimes
- By: James Langton
- July 29, 2015 December 19, 2017
- 11:40
FCA finds firms still failing to fully manage benchmark risks
Progress has been uneven across the industry
- By: James Langton
- July 29, 2015 December 19, 2017
- 09:00
IOSCO report outlines strategic direction to 2020
Global securities regulators to tackle emerging issues
- By: James Langton
- July 28, 2015 December 19, 2017
- 15:25
U.S. regulators give first feedback to banks on “living wills”
Plans from AIG, Prudential need more detail, agencies say
- By: James Langton
- July 28, 2015 December 19, 2017
- 14:15
FCA issues guidance to protect customers from “performance management”
The U.K. regulator has uncovered instances of poor practices at financial firms that can drive mis-selling because of pressure to meet targets
- By: James Langton
- July 27, 2015 December 19, 2017
- 12:55
FINRA fines Goldman Sachs unit US$1.8M for trade reporting failures
The firm settled the allegations without admitting or denying the charges
- By: James Langton
- July 27, 2015 December 19, 2017
- 10:35
Unregistered trading leads to ASC suspension
Blain Russell Kennedy was the second Alberta man to plead guilty in the distribution of Lucid Group securities
- By: James Langton
- July 24, 2015 December 19, 2017
- 14:50
Reforms to OTC derivatives markets remain a work in progress
A new FSB report says certain reforms are more advanced than others
- By: James Langton
- July 24, 2015 December 19, 2017
- 14:40
Working group established to strengthen FX market rules
International group aims to develop a single global code of conduct and to promote adherence to these standards and principles
- By: James Langton
- July 24, 2015 December 19, 2017
- 08:35
OSC to review growth of mutual fund series
The provincial regulator also wants to explore whether fund prospectuses provide sufficient clarity on different fund classes
- By: James Langton
- July 23, 2015 December 19, 2017
- 13:20
Basel Committee issues final criteria on securitizations
The aim is to assist in the financial industry’s development of simple, transparent and comparable securitization structures
- By: James Langton
- July 23, 2015 December 19, 2017
- 09:25
MFDA issues proposed proficiency standards for selling ETFs
Mutual fund reps would need to receive training on the particular characteristics and features of ETFs, among other key points
- By: James Langton
- July 22, 2015 December 19, 2017
- 16:00
Fund raising scheme operators committed fraud: OSC
Some investors in Bradon Technologies lost their life savings
- By: James Langton
- July 22, 2015 December 19, 2017
- 15:30
OSFI issues draft 2016 MCT guideline for P&C insurers
Comments due by Sept. 4
- By: James Langton
- July 22, 2015 December 19, 2017
- 15:15
IIROC reaches settlement with Mackie
The firm will pay a fine and costs to the self-regulatory organization as a result of several regulatory infractions
- By: Tessie Sanci
- July 22, 2015 December 19, 2017
- 14:00
OSC warns investors about PFS Investments Overseas Division
Florida company appears to be targeting victims of an investment scheme involving First Global Ventures
- By: James Langton
- July 21, 2015 December 19, 2017
- 14:35