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
Latest news in From the Regulators
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
Reporting of inter-affiliate derivatives transactions by end-users on hold: OSC
Regulator contemplates possible changes to derivatives reporting rules
- By: James Langton
- June 1, 2015 December 19, 2017
- 15:40
Insurance regulators sign MOU to share industry conduct information
The agreement will result in more consistent handling of consumer complaints, more effective risk surveillance and greater collaboration in addressing market conduct issues
- By: Megan Harman
- June 1, 2015 December 19, 2017
- 14:40
Investors urged to plan for financial decisions as they age
Bulletin aims to help investors understand the potential impact of a diminished ability to make decisions
- By: James Langton
- June 1, 2015 December 19, 2017
- 14:10
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
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