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
Latest news in From the Regulators
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
Global regulators meet in Seoul
The IOSCO board meeting included a roundtable on the impact technological innovation on financial markets
- By: James Langton
- February 13, 2015 December 19, 2017
- 16:00
BCSC extends registration exemption for MIEs
Requirement to register pushed back to Dec. 31, 2016
- By: James Langton
- February 13, 2015 December 19, 2017
- 15:15
Bitcoin licence, please
Virtual currency ATMs and trading platforms must be authorized, AMF says
- By: James Langton
- February 13, 2015 December 19, 2017
- 12:10
FCNB issues cease trade order against alleged boiler room
The regulator began its investigation after receiving complaints from investors
- By: James Langton
- February 13, 2015 December 19, 2017
- 11:00
BCSC panel finds developer committed fraud
Funds diverted from companies for personal expenses
- By: James Langton
- February 12, 2015 December 19, 2017
- 16:00
Dealer CEO traded on inside information: OSC
Executive assistant tipped associates, family members
- By: James Langton
- February 12, 2015 December 19, 2017
- 15:00
OSC delays transaction-level reporting of OTC derivatives
The added time will give OSC staff more time to develop a mechanism for public disclosure
- By: James Langton
- February 12, 2015 December 19, 2017
- 14:00
Alternative funds framework coming by year’s end
CSA provides update on the regulation of alternative investment funds
- By: James Langton
- February 12, 2015 November 7, 2018
- 13:30
CSA proposes clearing rule
Mandatory clearing of OTC derivatives intended to improve transparency
- By: James Langton
- February 12, 2015 December 19, 2017
- 12:00
Improving odd-lot liquidity
Odd-lot orders would not bet required to receive a better price when trading against a dark order: IIROC
- By: James Langton
- February 12, 2015 December 19, 2017
- 09:40