Domestic banks to face tougher rules in Basel plan
Proposed rules extend regime for global systemic banks
- By: James Langton
- June 29, 2012 June 29, 2012
- 11:35
Latest news in From the Regulators
ASC warns public about Bforex
BVI forex company not registered, regulator says
- By: IE Staff
- June 29, 2012 June 29, 2012
- 11:10
FSA reaches settlement with four UK banks on rate hedging
Banks agree to customer redress for poor sales practices in the sale of interest rate hedging products to SMEs
- June 29, 2012 June 29, 2012
- 08:20
OSC pledges to compensate wronged investors
Investor compensation added to the regulator’s statement of priorities
- By: James Langton
- June 28, 2012 June 28, 2012
- 14:50
OSC to give firms reasons for registration rejections
Reasons given to individuals will now be shared with firms
- By: James Langton
- June 28, 2012 June 28, 2012
- 14:40
CSA unveils framework to manage electronic trading risks
Propose rule aims to address specific risks that may arise from electronic trading
- By: James Langton
- June 28, 2012 June 28, 2012
- 12:15
ESMA to consult on hedge fund remuneration
Guidance is being developed in response to new rules for alternative investment managers
- By: James Langton
- June 28, 2012 June 28, 2012
- 11:00
Basel calls for stronger internal audit strategies for banks
The revised guidance reflects lessons learned from the financial crisis
- By: James Langton
- June 28, 2012 June 28, 2012
- 09:00
FSA eyes ban on “platform” commissions
FSA is proposing a ban on all payments from product providers to platforms
- By: James Langton
- June 28, 2012 June 28, 2012
- 07:00
SEC settlements with individuals rise in 2012
The increase in total settlements is entirely due to the rise in settlements with individuals
- By: James Langton
- June 27, 2012 June 27, 2012
- 15:30
Court rejects bid to review IIROC enforcement
Motion by Hampton Securities and Peter Deeb premature, court rules
- By: James Langton
- June 27, 2012 June 27, 2012
- 10:25
NASAA issues crowdfunding advisory
Firms advised to wait until the SEC’s crowdfunding rules are finalized before offering shares for sale to the public
- By: James Langton
- June 27, 2012 June 27, 2012
- 10:15
Barclays fined for manipulating bank rates
British bank agrees to pay US$400 million in penalties to U.S. and UK regulators
- By: James Langton
- June 27, 2012 June 27, 2012
- 08:30
FSA fines against individuals and firms higher than ever
Fines imposed on high-profile individuals have increased steadily over the past few years
- By: James Langton
- June 26, 2012 June 26, 2012
- 20:30
NSSC reciprocates Florida sanctions
Cease-trade order imposed against Bernadette Brown
- By: James Langton
- June 26, 2012 June 26, 2012
- 16:20
Basel Committee unveils principles for risk reporting
Inability of banks to aggregate risk exposures fully and quickly undermines stability
- By: James Langton
- June 26, 2012 June 26, 2012
- 13:10
Basel Committee issues final rules on banks’ disclosure of capital
New rules aim to improve the quality and utility of these disclosures
- By: James Langton
- June 26, 2012 June 26, 2012
- 08:50
Nominations sought for IIROC market rules committee
MRAC reviews each proposed amendment to the trading rules before they are submitted to IIROC’s board
- By: James Langton
- June 26, 2012 June 26, 2012
- 07:30
Firms engaged in illegal distributions in Gold-Quest scheme: OSC
Sanctions against Simply Wealth and K&S Global Wealth to be determined later
- By: James Langton
- June 26, 2012 June 26, 2012
- 07:00
UK regulator censures Iceland bank subsidiary
British financial regulators issued a statement Tuesday, following the conclusion of their investigation into the failure of an Icelandic bank during the financial crisis, finding…
- By: James Langton
- June 26, 2012 June 26, 2012
- 06:30
OSFI issues draft capital guideline for P&C insurers
Comments due by August 10
- By: James Langton
- June 25, 2012 June 25, 2012
- 15:10
SEC seeks penalties in astrology-based Ponzi scheme
Broker allegedly relied on market forecasts that were based on lunar cycles, gravitational pull
- By: James Langton
- June 22, 2012 June 22, 2012
- 16:45
Former rep fined $200,000 for suitability failures
Clients lost approximately $1.2 million in aggressive investment strategy
- By: Megan Harman
- June 22, 2012 June 22, 2012
- 10:00
Swift Trade, Beck fined $100,000 for compliance breaches
Group facing a range of market bans
- By: James Langton
- June 21, 2012 June 21, 2012
- 14:45
BCSC bans former investment advisor
Dirk Lohrisch was previously banned by IIROC
- By: James Langton
- June 21, 2012 June 21, 2012
- 13:30