Regulators moved forward on several key fronts in 2014
The past 12 months included a wide range of significant changes, from implementing CRM2, to fresh steps toward a national regulator
- By: James Langton
- December 24, 2014 December 19, 2017
- 11:00
Latest news in From the Regulators
CPMI, IOSCO issue methodology for oversight of market technology providers
The goal is to establish a regulatory oversight methodology for financial market infrastructure firms
- By: James Langton
- December 24, 2014 December 19, 2017
- 10:20
ASC sanctions mortgage broker, spouse for illegal trades
The illegally traded and distributed securities of Infuse Capital Corp. and made misrepresentations to investors
- By: James Langton
- December 24, 2014 December 19, 2017
- 08:15
FINRA warns of e-cigarette scams
Investors urged to look beyond the hype and be watchful for pump-and-dump fraudsters
- By: James Langton
- December 23, 2014 December 19, 2017
- 14:00
Consultant banned for 15 years: OSC
Liberty Consulting used powers of attorney used to provide unregistered investment advisory services
- By: James Langton
- December 22, 2014 December 19, 2017
- 16:00
Basel Committee wants standardized assessment of banks’ capital
BCBS to establish standardized capital floor
- By: James Langton
- December 22, 2014 December 19, 2017
- 15:45
Comments on proposed CCMRS legislation released
Submissions posted from over 60 commenters
- By: James Langton
- December 22, 2014 December 19, 2017
- 11:45
FCA to oversee seven more benchmarks
The UK regulators says that the measures are designed to enhance market integrity and bolster investor confidence
- By: James Langton
- December 22, 2014 December 19, 2017
- 10:35
OSC withdraws allegations agains three three Nortel execs
The trio were acquitted of criminal charges in January 2013
- By: James Langton
- December 19, 2014 December 19, 2017
- 15:45
CSA approves MFDA CRM2 amendments
Reforms finalized for fund dealers
- By: James Langton
- December 19, 2014 December 19, 2017
- 13:40
ESMA proposes reforms for secondary markets
New framework aims to ensure secondary markets are fair, transparent and safe
- By: James Langton
- December 19, 2014 December 19, 2017
- 11:00
Basel proposes changes to trading book capital requirements
The goal is to promote consistent implementation of the rules across banks
- By: James Langton
- December 19, 2014 December 19, 2017
- 10:10
AMF updates list of unauthorized trading sites
Five online trading platforms added to list
- By: James Langton
- December 19, 2014 December 19, 2017
- 09:15
RBC to pay US$35 million to settle wash trading case
Bank neither admits nor denies CFTC’s allegations
- By: James Langton
- December 19, 2014 December 19, 2017
- 08:50
IIROC issues guidance on underwriting due diligence
Revised guidance designed to promote consistency and enhanced standards
- December 18, 2014 December 19, 2017
- 16:15
Crowdfunding would benefit from regulation: ESMA
Regulator wants common EU approach to supervision of investment crowdfunding
- By: James Langton
- December 18, 2014 December 19, 2017
- 11:30
Alberta mother and son plead guilty to Ponzi scheme
Seven victims collectively lost more than $1.3 million
- By: James Langton
- December 17, 2014 December 19, 2017
- 15:00
Papers shed light on HFT impact: IIROC
IIROC to review findings before determining what, if any, regulatory response may be required
- December 17, 2014 December 19, 2017
- 13:40
ASC sanctions Edmonton man for illegal distributions
Illegal trades deprived investors of key protections
- By: IE Staff
- December 17, 2014 December 19, 2017
- 09:10
Embedded commission ban improving outcomes for UK investors: report
FCA research finds little evidence reforms caused advice gap
- By: James Langton
- December 16, 2014 December 19, 2017
- 09:10
SEC cautions investors on fees
Miscellaneous fees charged by some brokerage firms can have a “significant” impact on returns
- By: James Langton
- December 15, 2014 December 19, 2017
- 16:00
NASAA launches online system for exempt offering
EFD designed to improve the efficiency of the regulatory filing process for certain exempt securities offerings
- By: James Langton
- December 15, 2014 December 19, 2017
- 14:45