U.S. brokerage fined US$9.5 million for lax trade oversight
Newedge failed to reasonably monitor for potentially manipulative trading, FINRA says
- By: James Langton
- July 12, 2013 December 19, 2017
- 08:40
Latest news in From the Regulators
Provinces to share info with British authorities
Ontario, Alberta and British Columbia have agreed to co-operate with the Bank of England and the Financial Conduct Authority
- By: James Langton
- July 11, 2013 December 19, 2017
- 12:30
Bringing stability to stop loss orders
IIROC guidance on management of stop loss orders aimed at protecting market integrity
- By: James Langton
- July 11, 2013 December 19, 2017
- 11:50
U.S., Europe announce breakthrough on cross-border derivatives
U.S. and European derivatives regulators said Thursday that they have agreed on a common path to proceed with ongoing regulatory reforms, which will see them…
- By: James Langton
- July 11, 2013 December 19, 2017
- 09:00
FINTRAC updates due diligence guidelines
Watchdog seeks comments on proposed changes
- By: James Langton
- July 11, 2013 December 19, 2017
- 07:15
SEC lifts ban on hedge funds advertising to retail investors
Change takes effect in about 60 days
- By: Marcy Gordon
- July 10, 2013 December 19, 2017
- 15:50
U.S. regulators tags AIG and GE Capital as systemically important
Firms to be subject to tougher oversight
- By: James Langton
- July 10, 2013 December 19, 2017
- 08:10
Branch manager fined $15,000
Raymond James manager failed to properly supervise rep who recommended margin borrowing to elderly clients
- By: IE Staff
- July 9, 2013 December 19, 2017
- 15:00
AMF warns of possible investment scam
Traditional and alternative energy investments are becoming increasingly attractive to fraudsters
- By: James Langton
- July 9, 2013 December 19, 2017
- 14:00
U.S. regulators propose stricter leverage rations for big banks
Big firms would have to maintain a tier 1 capital leverage buffer above the minimum Basel III requirement
- By: James Langton
- July 9, 2013 December 19, 2017
- 12:00
CSA focuses on investor protection
Securities regulators release three-year business plan
- By: James Langton
- July 9, 2013 December 19, 2017
- 11:15
Quadrus fined for lax supervision
Fund dealer failed to provide close supervision to fund salesman who violated terms placed on him by the Nova Scotia Securities Commission
- By: IE Staff
- July 9, 2013 December 19, 2017
- 09:50
Financial information groups face New York probe
Thomson Reuters agrees to stop giving advance look to high frequency traders
- By: James Langton
- July 8, 2013 December 19, 2017
- 16:10
UK endorses banking reforms
Government says it intends to strengthen standards in banking
- By: James Langton
- July 8, 2013 December 19, 2017
- 14:15
CRM 2: Competing products, different rules?
Rebecca Cowdery, partner at Borden Ladner Gervais and a specialist in the regulation of investment funds, discusses industry concerns that CRM 2 (in effect July…
- By: Rebecca Cowdery
- July 8, 2013 December 19, 2017
- 13:45
Australian regulators to monitor analyst briefings
All investors — large and small — should have access to equal information from listed companies, ASIC says
- By: James Langton
- July 8, 2013 December 19, 2017
- 11:00
Basel Committee seeks views on complexity of bank capital rules
Report examines the challenge of how to balance the conflicting goals of risk sensitivity, simplicity and comparability
- By: James Langton
- July 8, 2013 December 19, 2017
- 09:30
Report finds wide variation in how banks assess risk of defaults
There are notable outliers evident in each asset class, but the sovereign asset class shows the greatest variation
- By: James Langton
- July 5, 2013 December 19, 2017
- 08:40
Basel proposes tougher treatment for how banks cover exposure to equity funds
Revised standard will help address risks associated with interactions with shadow banks
- By: IE Staff
- July 5, 2013 December 19, 2017
- 08:05
CSA publishes framework for direct electronic access
The regulation of access has become ever more critical to the overall regulation of electronic trading
- By: James Langton
- July 4, 2013 December 19, 2017
- 11:00
European regulators target under-performing complex products
Report examines alternative investment funds and structured products sold to retail investors
- By: James Langton
- July 4, 2013 December 19, 2017
- 09:15
OSFI warns banks on Iran
Financial Action Task Force concerned about Iran’s failure to address terrorist financing
- By: James Langton
- July 3, 2013 December 19, 2017
- 16:10
IIROC altered Inter Pipeline trades
The trading price dropped 35% in 24 seconds due the automatic triggering of a number of stop loss orders
- By: James Langton
- July 3, 2013 December 19, 2017
- 15:35
Basel refines big bank assessments
Global banking regulators issue an updated assessment methodology for systemically important banks
- By: James Langton
- July 3, 2013 December 19, 2017
- 08:00
OSC Investor Alert: Equity Star Momentum Growth Fund
The Ontario Securities Commission (OSC) is warning Ontario investors not to invest with Equity Star Momentum Growth Fund, which purports to be located in the…
- By: IE Staff
- July 2, 2013 December 19, 2017
- 15:50