CSA extends OTC trade reporting deadline
Clearing agencies and dealers now have to October 31 to meet reporting requirements
- By: James Langton
- April 10, 2014 December 19, 2017
- 13:30
Latest news in From the Regulators
Securities enforcement activity slows in Q1
Firms have made 384 reports to ComSet so far this year
- By: James Langton
- April 10, 2014 December 19, 2017
- 12:10
Rep to pay $150,000 for KYC and suitability failings
IIROC suspends Ravindra Suppal for one-year
- By: Fiona Collie
- April 10, 2014 December 19, 2017
- 10:40
BoC, regulators to cooperate on overseeing clearing and payment systems
MOU aims to help manage systemic risk
- By: James Langton
- April 10, 2014 December 19, 2017
- 10:15
BoA compensates clients for credit card “add-ons”
Bank agrees to refund roughly US$738 million to affected clients
- By: James Langton
- April 9, 2014 December 19, 2017
- 14:05
Scholarship plan settles with OSC
Children’s Education Funds moves to strengthen compliance systems
- By: James Langton
- April 8, 2014 December 19, 2017
- 16:40
FSB reports progress on OTC derivatives reforms
Some areas are taking longer to address
- By: IE Staff
- April 8, 2014 December 19, 2017
- 15:55
U.S. banks required to have stronger capital base
Eight biggest U.S. banks will have to meet stricter measures to reduce financial threats under a rule adopted by U.S. regulators
- By: Marcy Gordon
- April 8, 2014 December 19, 2017
- 13:15
Fed gives banks extension on Volcker rule
Banks will now have until July 2017 to adhere to provisions for CLOs
- By: James Langton
- April 8, 2014 December 19, 2017
- 07:40
AMF expanding work with victim support services
Quebec regulator signs agreements with local assistance centres for victims of financial crimes
- April 7, 2014 December 19, 2017
- 16:05
CSA calls for independent research on fund fees
Firms are invited to submit proposals for two pieces of research
- By: James Langton
- April 7, 2014 December 19, 2017
- 10:45
Efforts to improve supervision need ongoing focus: report
FSB issues progress report on enhanced supervision of systemically important financial institutions
- By: James Langton
- April 7, 2014 December 19, 2017
- 10:30
OSC fines business owner $125,000
Regulator orders John Bordynuik to pay a penalty for improper distribution of securities
- By: James Langton
- April 4, 2014 December 19, 2017
- 16:25
Whistleblower awarded additional $150,000 by SEC
Award represents 30% of total funds collected by SEC from a fraud scheme
- By: James Langton
- April 4, 2014 December 19, 2017
- 12:45
SEC considering new target date fund disclosure
U.S. regulator seeks comment on IAC’s proposal for funds to illustrate their “glide path”
- By: James Langton
- April 4, 2014 December 19, 2017
- 08:40
U.S. regulators warn banks about cyber attacks
Financial institutions are expected to address DDoS readiness as part of their ongoing information security plans
- By: James Langton
- April 3, 2014 December 19, 2017
- 15:30
IIROC proposes marketplace thresholds
Proposed guidance would require exchanges to adopt price and volume thresholds to avoid trading volatility
- By: James Langton
- April 3, 2014 December 19, 2017
- 13:00
OSC to rule on embedded commissions in 2015
The regulator is looking for comments on its Draft 2014-2015 Statement of Priorities
- By: James Langton
- April 3, 2014 December 19, 2017
- 11:10
IIROC guidance sets out expectations for part-time CFOs
Dealers must actively manage conflicts of interest and preserve confidentiality
- By: James Langton
- April 3, 2014 December 19, 2017
- 08:15
Alberta proposes alternative regulator model
A new national enforcement agency would deal with criminal and quasi-criminal misconduct
- By: James Langton
- April 3, 2014 December 19, 2017
- 07:30
EU proposes rules to improve disclosure for retail investors
Draft rules require firms to provide a mandatory Key Information Document
- By: James Langton
- April 2, 2014 December 19, 2017
- 11:15
OSFI flags risks facing reinsurers
Dickson cites longevity risk and cyber security in speech to reinsurance conference
- By: James Langton
- April 2, 2014 December 19, 2017
- 10:20
Ex Assante advisor violated IIROC rules
Brian Malley has been charged in the death of a client and is facing a class action suit from several former clients
- By: James Langton
- April 1, 2014 December 19, 2017
- 15:55
OSFI to bolster supervisory practices
Federal financial regulator publishes priorities for 2014-2017
- By: James Langton
- April 1, 2014 December 19, 2017
- 13:30