New York financial firms get guidance on preventing senior exploitation
Financial exploitation is leading form of elder abuse in the state: study
- By: James Langton
- March 2, 2015 December 19, 2017
- 09:00
Latest news in From the Regulators
OSC charges three with violating cease trade orders
Court appearances scheduled for March
- By: James Langton
- February 27, 2015 December 19, 2017
- 13:45
OSC imposes permanent ban on Conrad Black
Bans issued against former Hollinger execs Black, Boultbee
- By: James Langton
- February 27, 2015 December 19, 2017
- 10:50
ISDA calls for standardized trade reporting
Principles designed to improve regulatory transparency and derivatives trade reporting
- By: James Langton
- February 27, 2015 December 19, 2017
- 10:20
CPMI, IOSCO publish disclosure standards for central counterparties
The regulators also published progress reports on the implementation of principles for financial market infrastructures in the U.S., Japan and Europe
- By: James Langton
- February 27, 2015 December 19, 2017
- 10:00
Fed extends comment period on capital surcharges
Regulators are planning to introduce capital surcharges for the largest, most systemically important banks
- By: James Langton
- February 26, 2015 December 19, 2017
- 15:40
Regulators mull Fund Facts for ETFs
OSC report outlines priorities for investment funds and structured products branch
- By: James Langton
- February 26, 2015 December 19, 2017
- 14:00
IIROC republishes proposed revisions to margin requirements
Margin requirements for agency cash and security borrowing and lending arrangements modified
- By: James Langton
- February 26, 2015 December 19, 2017
- 10:45
New York proposes rewards for whistleblowers
New law would provide financial compensation to whistleblowers who voluntarily report fraud in their industry
- By: James Langton
- February 26, 2015 December 19, 2017
- 10:00
BCSC fines, bans developer duo
Pair ordered to disgorge more than $3.6 million
- February 25, 2015 December 19, 2017
- 15:15
IOSCO reviews implementation of financial benchmark principles
Administrators of equity benchmarks report the highest level of compliance
- By: James Langton
- February 25, 2015 December 19, 2017
- 14:00
CSF head stepping down
Marie Elaine Farley named acting president
- By: IE Staff
- February 25, 2015 December 19, 2017
- 11:20
IOSCO report compares prudential standards
Report examines capital frameworks for securities firms
- By: James Langton
- February 25, 2015 December 19, 2017
- 09:30
UK regulator fines Aviva Investors $34.2 million over fee failings
Incentive structure created conflicts of interest, FCA says
- By: James Langton
- February 24, 2015 December 19, 2017
- 11:00
OSC advisory committee members agree to term extensions
SPAC members to serve until 2017
- By: James Langton
- February 23, 2015 December 19, 2017
- 15:00
CSA finds fault with medical marijuana disclosure
Disclosure often promotes benefits, but fails to outline risks involved
- By: James Langton
- February 23, 2015 December 19, 2017
- 10:40
UK introduces new accountability regime for financial firms
Whistleblower rules proposed for British banks
- By: James Langton
- February 23, 2015 December 19, 2017
- 10:30
FSB approach may make bank conduct risks more predictable: Fitch
Conduct risks expected to remain high in the short term
- By: James Langton
- February 20, 2015 December 19, 2017
- 13:40
MFDA plans proficiency standards for ETFs
Other priorities for 2015 include seniors, fee arrangements and pre-trade disclosure
- By: James Langton
- February 20, 2015 December 19, 2017
- 10:15
OSC adopts family and friends exemption
Early stage issuers gain greater access to capital
- By: James Langton
- February 19, 2015 December 19, 2017
- 13:50
Exemption reforms strengthen investor protection: CSA
Amendments adopted for AI, MA and short-term debt prospectus exemptions
- By: James Langton
- February 19, 2015 December 19, 2017
- 12:30
CSA levied more than $58M in fines and penalties in 2014
Illegal distributions remain the biggest violation that regulators are confronting
- By: James Langton
- February 19, 2015 December 19, 2017
- 11:45
FCA to investigate competition in investment banking
There are unanswered questions about potential conflicts of interest and value for money, UK regulator says
- By: James Langton
- February 19, 2015 December 19, 2017
- 09:45
FCA warns investment managers over insider trading controls
Only a small number of firms have comprehensive controls
- By: James Langton
- February 18, 2015 December 19, 2017
- 10:40
OSC permanently bans fund manager
Juniper Fund Management, CEO committed numerous violations
- By: James Langton
- February 13, 2015 December 19, 2017
- 17:00