Pension regulators unveil new guidance
CAPSA replaces 2004 guideline, consolidates risk management guidance
- By: James Langton
- September 10, 2024 September 10, 2024
- 15:02
CAPSA replaces 2004 guideline, consolidates risk management guidance
Regulator brings first case alleging breach of money laundering rules involving unregistered crypto activity
Poorly designed KYC questionnaires at the heart of recent enforcement actions
Complying with new ESG naming requirements proving harder than expected for some firms, regulator says
Seven companies settle allegations that labour contracts violated SEC rules
Group says the new law effectively silences climate policy discussion
Firms settle allegations that confidentiality deals impeded communications with regulators
Government proposes easing service requirements for investigative notices
The key lending rate is now 4.25%
Most Americans, however, are not in the same celebratory mood after the Fed's rate hike campaign
Appeals of Tribunal's merits and sanctions decisions rejected
Both sides appealed rulings involving rep inheriting client's estate
Trade group issues recommendations for crypto custodians
Fund industry warns about risks to investors as portfolio reporting increases
Regulator details anti-greenwashing efforts, anticipates new disclosure demands
Regulators has concerns about conflicts, consumer value and competition
Swiss firm sold gas cheap to benefit short position, regulator alleges
Interest-bearing accounts constituted securities, regulator alleged
Info was used to enter into short sale transactions without Stifel's knowledge
OSFI piloting quarterly guideline publishing
The man and his company were not registered to trade securities, BCSC says