CIRO takes step toward consolidated dealer rules
New SRO aims to harmonize requirements for fund dealers and investment dealers
- By: James Langton
- October 20, 2023 October 20, 2023
- 16:32
Latest news in From the Regulators
Ontario proposes quicker consultations for OSC, FSRA
Legislative changes would cut minimum comment period to 60 days
- By: James Langton
- October 20, 2023 October 20, 2023
- 14:21
ESMA seeks fit check for crypto sector
Regulator proposes guidance for assessing the fitness of management, large shareholders under new crypto regime
- By: James Langton
- October 20, 2023 October 20, 2023
- 13:51
The fallout for Canada from U.S. market reforms
CSA and CIRO seek feedback on the SEC's market structure proposals
- By: James Langton
- October 19, 2023 October 19, 2023
- 16:11
CSA eases mutual funds’ move to T+1
Regulators propose revisions to accommodate variety of settlement cycles
- By: James Langton
- October 19, 2023 October 19, 2023
- 13:08
SEC considers curbs on trading fee models
Proposal aims to address concerns about competitiveness of smaller brokers
- By: James Langton
- October 18, 2023 October 18, 2023
- 16:23
CFTC plans tougher stance, bigger fines
New guidance signals larger fines, more misconduct admissions
- By: James Langton
- October 18, 2023 October 18, 2023
- 14:05
ECB enters a new phase on path to digital euro
Policymakers move from digital currency design to preparation
- By: James Langton
- October 18, 2023 October 18, 2023
- 13:43
OSFI response to mortgage proposals will please industry: expert
Real estate industry is likely breathing a sigh of relief that Canada's banking regulator may not move ahead with lending tightening
- By: Sammy Hudes, The Canadian Press
- October 18, 2023 October 18, 2023
- 12:27
OBSI named sole provider for bank complaints
Finance also announced measures to tackle bank fees and mortgage relief
- By: James Langton
- October 17, 2023 October 17, 2023
- 17:55
Basel Committee issues crypto disclosure proposal
Standardization seeks to enable market discipline, reduce information asymmetry
- By: James Langton
- October 17, 2023 October 17, 2023
- 16:59
Inflation to trigger another rise in TFSA limit
Next year’s contribution amount can be calculated using CPI data released Tuesday
- By: Rudy Mezzetta
- October 17, 2023 October 17, 2023
- 15:59
Regulation no silver bullet for crypto risks, European regulators say
ESMA calls on crypto industry to prepare for regulation
- By: James Langton
- October 17, 2023 October 17, 2023
- 14:21
Tribunal finds SRO panel erred
The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it
- By: James Langton
- October 16, 2023 October 16, 2023
- 16:18
B.C. to bring in new rules on short-term rentals to create more housing
Legislation would force short-term rental platforms to share data for enforcement and tax purposes
- October 16, 2023 October 16, 2023
- 14:59
SEC targets best-interest rules in broker reviews
Regulator's exam division sets compliance priorities for 2024
- By: James Langton
- October 16, 2023 October 16, 2023
- 14:40
OSFI outlines climate scenario analysis exercise
The regulator is planning the industry's first standardized climate exercise for next year
- By: James Langton
- October 16, 2023 October 16, 2023
- 14:16
Global pump-and-dump player sentenced
Scheme generated over US$150 million in illicit profits
- By: James Langton
- October 13, 2023 October 13, 2023
- 17:11
OSFI aims to beef up security, integrity standards
Federal regulator proposes new guidance to meet its expanded mandate
- By: James Langton
- October 13, 2023 October 13, 2023
- 15:15
With complaints soaring, OBSI fees set to climb
Banks to bear the brunt of fee increase, as case volumes jump
- By: James Langton
- October 13, 2023 October 13, 2023
- 14:53
SEC to shine a light on short selling
Regulator adopts new rules to boost transparency around short activity, securities lending
- By: James Langton
- October 13, 2023 October 13, 2023
- 14:33
Regulators report rise in crypto complaints
JRC report details complaints to OBSI involving mutual fund suitability, low-ball settlements
- By: James Langton
- October 12, 2023 October 12, 2023
- 17:10
CFTC charges former crypto CEO
Voyager Digital's former chief charged for allegedly deceiving investors
- By: James Langton
- October 12, 2023 October 12, 2023
- 16:00
Climate-related disclosures need work, report suggests
Task force details progress and areas of improvement
- By: James Langton
- October 12, 2023 October 12, 2023
- 13:27