CIRO to drop Gravitas
Firm winding down after running into capital trouble
- By: James Langton
- July 30, 2024 July 30, 2024
- 09:19
Latest news in From the Regulators
Regulators need more rigour: C.D. Howe
Paper argues for more systematic cost/benefit, post-implementation analysis
- By: James Langton
- July 29, 2024 July 29, 2024
- 15:50
The Fed is edging closer to cutting rates. But how fast?
Rate cuts typically lower borrowing costs for mortgages, auto loans and credit cards
- By: Christopher Rugaber, The Associated Press
- July 29, 2024 July 29, 2024
- 12:38
Ontario proposes new MGA regulation
New regime aims to enhance consumer protection, set industry standards
- By: James Langton
- July 26, 2024 July 26, 2024
- 16:16
OSC’s compliance work escalates
Risky firms, crypto platforms add to compliance division's workload
- By: James Langton
- July 26, 2024 July 26, 2024
- 15:36
Activist short seller charged with securities fraud
SEC, DoJ allege Citron Research, and its founder, misled investors
- By: James Langton
- July 26, 2024 July 26, 2024
- 13:45
Fewer prospectuses key to FCA reform proposals
Proposals seek to ease capital raising, bring back research bundling
- By: James Langton
- July 26, 2024 July 26, 2024
- 12:58
FCA undertakes its first enforcement action against a crypto enabler
U.K. regulator fined Coinbase company £3.5 million for compliance violations
- By: James Langton
- July 25, 2024 July 25, 2024
- 15:03
CSA aims to ease derivatives reporting burden
Revisions seek to better align with global standards
- By: James Langton
- July 25, 2024 July 25, 2024
- 14:23
ESMA’s long-term vision for sustainable investment
Paper seeks improvements to enable economic transition
- By: James Langton
- July 24, 2024 July 24, 2024
- 13:30
Large dealers embrace remote exams: FINRA
Organization launches pilot program to allow remote supervision
- By: James Langton
- July 24, 2024 July 24, 2024
- 13:16
Fund dealer complaints drop, bank gripes up: OBSI
Fraud claims pass suitability issues among investment cases
- By: James Langton
- July 23, 2024 July 26, 2024
- 16:21
Global financial stability risks remain, FSB warns
The group called for action on shadow banking reforms in letter to G20
- By: James Langton
- July 23, 2024 July 23, 2024
- 15:16
Much work to be done, CSA year in review shows
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
- By: James Langton
- July 23, 2024 July 22, 2024
- 07:00
OBSI seeks pair of new directors
With reforms pending, the organization will search for new consumer, industry board reps
- By: James Langton
- July 22, 2024 July 22, 2024
- 14:56
China moves to pep up its slowing economy
The country released a 50-page roadmap and cut key interest rates Monday
- By: Elaine Kurtenbach, The Associated Press
- July 22, 2024 July 22, 2024
- 14:42
MX sanctions Citi for reporting violations
Weaknesses in position reporting uncovered in compliance review
- By: James Langton
- July 19, 2024 July 19, 2024
- 14:01
Ontario proposes new pension solvency test
Finance seeks funding test for plans that have been exempt
- By: James Langton
- July 18, 2024 July 18, 2024
- 14:55
Greenwashing, greenhushing and greenwishing: The new sustainable finance lingo
Here’s what the terms mean and how some suggest putting an end to these practices
- By: Noushin Ziafati
- July 18, 2024 July 25, 2024
- 09:12
Tipster settles for US$37-million whistleblower award
Tip helped, but SEC rules that compliance staff sparked investigation
- By: James Langton
- July 17, 2024 July 17, 2024
- 17:25
LLQP exam fees going up next month in Ontario
FSRA says higher fees due to rising technology, business costs
- By: James Langton
- July 17, 2024 July 17, 2024
- 16:30
Court upholds BCSC’s power to compel
Constitutionality of regulator's investigative tools upheld on appeal
- By: James Langton
- July 17, 2024 July 17, 2024
- 15:54
For U.S. regulators, the devil is in the data
Agencies adopt standards to address bias, conflicts in valuation models
- By: James Langton
- July 17, 2024 July 17, 2024
- 15:41