FINRA brings transparency to asset-backed securities market
Investors now have access to post-trade price information
- By: James Langton
- June 1, 2015 December 19, 2017
- 13:20
Latest news in From the Regulators
OSC announces agenda for whistleblower roundtable
The roundtable will take place on June 9 in Toronto
- By: James Langton
- June 1, 2015 December 19, 2017
- 09:00
Advance-fee scams target non-U.S. investors: FINRA
Scammers using fake regulator web sites and false broker identities
- By: James Langton
- May 29, 2015 December 19, 2017
- 14:15
BCSC report flags improper use of personal corporations
2015 Compliance Report Card lists top five deficiencies
- By: James Langton
- May 29, 2015 December 19, 2017
- 13:40
Tougher rules for foreign exchange dealers proposed
U.S. proposals designed to minimize major losses
- By: James Langton
- May 29, 2015 December 19, 2017
- 09:50
EU derivatives markets becoming more transparent: ESMA
Harmonized data has been made available since April on open positions, trade volume and values broken down by derivative class, type and trade type
- By: James Langton
- May 29, 2015 December 19, 2017
- 09:00
SEC charges two Canadians with conducting market manipulation schemes
Both men have pled guilt to fraud charges and will be sentenced in U.S. court in June
- May 29, 2015 December 19, 2017
- 08:30
FCA reintroduces capital requirements for advisory firms
U.K. proposals meant to ensure firms can handle routine losses and meet claims for client redress
- By: James Langton
- May 28, 2015 December 19, 2017
- 14:00
OSC, OSFI announce cooperative arrangement
Regulators to work together to monitor banks’ compliance with derivatives data reporting
- By: James Langton
- May 28, 2015 December 19, 2017
- 12:00
Head of FINRA favours a best interest standard on U.S. brokers
But new standard must be created under U.S. securities laws for several reasons, says CEO of U.S. SRO
- By: James Langton
- May 27, 2015 December 19, 2017
- 14:30
European unbundling reforms could have significant impact
A modest decrease in commissions or broker trading revenue could effect the sell-side provision of research
- By: James Langton
- May 27, 2015 December 19, 2017
- 11:15
FSCO to conduct review of insurance advisors
The Ontario regulator aims to verify that insurance agents are meeting their licensing requirements, have valid E&O insurance and are completing their CE credits
- By: Megan Harman
- May 27, 2015 December 19, 2017
- 08:40
Canadians charged in U.S. micro-cap scheme
SEC bars stock promoters from penny stock industry
- By: James Langton
- May 26, 2015 December 19, 2017
- 16:30
Deutsche Bank agrees to pay US$55M to SEC
Bank incorrectly valued derivatives
- By: James Langton
- May 26, 2015 December 19, 2017
- 11:55
Swiss regulator scrapping bonuses
Cooling off periods introduced on key staff who leave for the private sector
- By: James Langton
- May 25, 2015 December 19, 2017
- 14:30
OSC approves settlement with Livent exec
Eckstein can continue serving as an officer of the private company where he has worked for the past 12 years
- By: James Langton
- May 22, 2015 December 19, 2017
- 15:00
ASC bans Calgary man for illegal distributions
Chandran companies raised $39 million from more than 200 investors
- By: James Langton
- May 22, 2015 December 19, 2017
- 14:00
U.K. regulators to review competition in investment banking industry
Study will focus on choice, transparency, bundling and cross-subsidization in bond, share sales
- By: James Langton
- May 22, 2015 December 19, 2017
- 13:30
ESMA calls for revision to derivatives rules
The rules should no longer distinguish between over-the-counter and exchange-traded derivative transaction when calculating counterparty risk
- By: James Langton
- May 22, 2015 December 19, 2017
- 13:20
Fed proposals aim to help U.S. banks meet liquidity requirements
General obligation U.S. state and municipal bonds may quality as high-quality liquid assets
- By: James Langton
- May 21, 2015 December 19, 2017
- 14:20
CSA formalizes CRM2 relief for dealers
Parallel orders provide dealers until the end of the year to implement new requirements relating to market value, position cost and account statements
- By: James Langton
- May 21, 2015 December 19, 2017
- 10:00
Lawsky to leave post in June
New York’s first superintendent of financial services makes decision following massive global settlement with major banks
- By: James Langton
- May 20, 2015 December 19, 2017
- 15:15
SEC proposes new mutual fund reporting rules
Proposed rules aim to enhance the quality of information available to investors
- By: James Langton
- May 20, 2015 December 19, 2017
- 14:40