BCSC alleges breach of settlement
Banned former director arranged for mining company to “sidestep” OTC Rule, regulator says
- By: James Langton
- June 12, 2015 December 19, 2017
- 15:30
Latest news in From the Regulators
SEC seeks feedback on exchange-traded products
The expansion of ETP investment strategies has led to a significant increase requests for exemptions
- By: James Langton
- June 12, 2015 December 19, 2017
- 14:10
Markets that impose speed bumps shouldn’t be protected under OPR, CSA recommends
IIROC has also proposed amendments to trading rules to conform to the CSA’s policy approach
- June 12, 2015 December 19, 2017
- 11:20
FCA limits retail distribution of regulatory capital instruments
Ordinary investors aren’t fully able to understand these kinds of complex securities, U.K. regulator says
- By: James Langton
- June 12, 2015 December 19, 2017
- 09:15
Chile to host 2016 International Conference of Banking Supervisors
The meeting involves senior supervisors and central bankers from more than 100 countries
- By: James Langton
- June 12, 2015 December 19, 2017
- 08:50
Action needed on commissions, CSA report finds
Research shows that mutual funds with higher embedded commissions drive sales and that advisors are sometimes biased in favour of these products
- By: James Langton
- June 11, 2015 December 19, 2017
- 13:00
U.K. report sets out 21 recommendations to restore trust in markets
The FEMR’s final report suggests developing a set of common standards for trading in FICC markets and extending criminal sanctions for market abuse
- By: James Langton
- June 10, 2015 December 19, 2017
- 14:10
FINRA launches game to fight investment fraud
Interactive game aims to help investors spot the tactics used by con artists
- By: James Langton
- June 10, 2015 December 19, 2017
- 13:15
European regulators launch new consultations on draft OTC derivatives rules
Proposals detail margin requirements that counterparties should exchange in non-centrally cleared trades
- By: James Langton
- June 10, 2015 December 19, 2017
- 09:20
OSC panel issues lifetime ban, $2 million in sanctions
Alleged fraudster and his companies were engaged in intentional unregistered trading and committing fraud against clients
- By: James Langton
- June 9, 2015 December 19, 2017
- 16:30
Canadian trader to pay US$1 million for short selling violations
The B.C. trader violated Rule 105 anti-manipulation provisions on nearly a dozen occasions, SEC says
- By: James Langton
- June 9, 2015 December 19, 2017
- 16:20
OSC’s proposed whistleblower program could use tweaking
Most panelists at an OSC roundtable were in favour of the OSC’s proposed program but several raised some potential concerns
- By: James Langton
- June 9, 2015 December 19, 2017
- 14:45
Court dismisses appeals by Northern Securities and its CEO
Regulator’s decisions reasonable, court rules
- By: IE Staff
- June 9, 2015 December 19, 2017
- 10:15
ESMA to examine impact of best practice principles for proxy advisor firms
The European authority is looking for insight into how various players perceive the most recent proxy seasons to have evolved, among other things
- By: James Langton
- June 8, 2015 December 19, 2017
- 13:10
IOSCO report targets use of credit-rating agencies
Institutional investors now have a set of best practices to reduce their reliance on credit-rating agencies
- By: James Langton
- June 8, 2015 December 19, 2017
- 09:35
Basel Committee proposes bank capital rule to cover interest rate risks
Global regulators are concerned about flaws in bank risk modeling
- By: James Langton
- June 8, 2015 December 19, 2017
- 09:00
AMF reports 2014 enforcement activity
Quebec regulator imposed more than $8.7 million in fines and penalties
- By: James Langton
- June 4, 2015 December 19, 2017
- 16:00
Restoring trust in Basel internal ratings-based models will take time: Fitch
Inconsistencies make meaningful comparison of ratios across banks and countries difficult
- By: James Langton
- June 4, 2015 December 19, 2017
- 13:15
OSC seeks members for market structure committee
Regulator looking for candidates with experience from a variety of different perspectives
- By: James Langton
- June 4, 2015 December 19, 2017
- 10:00
B.C. launches review of financial services legislation
Consultation paper outlines issues for discussion
- By: James Langton
- June 4, 2015 December 19, 2017
- 06:50
BCSC alleges woman committed fraud
Australian gave funds to unregistered trader, regulator says
- By: James Langton
- June 3, 2015 December 19, 2017
- 16:00
OSC rules on Ponzi scheme disclosure of evidence
Two parties claiming to be victims of a scheme the OSC investigated are seeking to sue lawyers involved in the case
- By: James Langton
- June 3, 2015 December 19, 2017
- 09:40
OSC charges RESP dealer reps, branch managers
The regulator alleges that the accused purchased stolen personal information in order to market RESP products to new parents
- By: James Langton
- June 2, 2015 December 19, 2017
- 15:15
MFDA bans, fines David Karas
Advisor failed to represent properly or explain adequately the risks associated with leveraged investment recommendations made to 18 clients
- By: Tessie Sanci
- June 2, 2015 December 19, 2017
- 11:50
Amaya confirms AMF conducting investigation
The Quebec regulator has not filed any charges
- By: James Langton
- June 1, 2015 December 19, 2017
- 16:30