Banks’ derivatives activity surged in Q3: BIS
Volatility and uncertainty drove a rise in banks' cross-border claims
- By: James Langton
- January 30, 2023 January 30, 2023
- 15:27
Latest news in From the Regulators
Firms falling short of “best interest” standards: SEC
Regulator's reviews uncover shortcomings in brokers' Reg BI compliance
- By: James Langton
- January 30, 2023 January 30, 2023
- 15:22
Fed set to impose smaller hike, may hint of fewer increases
A downshift in rate increases is fueling enthusiasm on Wall Street that hikes will soon stop
- By: Christopher Rugaber, The Associated Press
- January 30, 2023 January 30, 2023
- 11:37
Court finds murdered man’s life policy was valid, again
Desjardins' appeal rejected as insurer failed to prove fraud on life application
- By: James Langton
- January 27, 2023 January 27, 2023
- 14:54
Insider trading scheme used contracts for difference, FCA alleges
U.K. regulator accuses analyst of tipping off traders
- By: James Langton
- January 26, 2023 January 26, 2023
- 15:35
CRA reminds taxpayers to include Covid benefits in income
T4A errors should be reported right away
- By: IE Staff
- January 26, 2023 January 26, 2023
- 15:04
SEC seeks “skin in the game” for securitizations
New asset-backed securities proposal would implement a key post-crisis reform
- By: James Langton
- January 25, 2023 January 25, 2023
- 16:20
Firms’ work on new consumer duty falling short: FCA
British regulator calls out industry ahead of July 31 deadline for new standards
- By: James Langton
- January 25, 2023 January 25, 2023
- 15:02
U.S. class action settlements surge in 2022
Strong investor recoveries expected to continue in the year ahead
- By: James Langton
- January 25, 2023 January 25, 2023
- 14:41
Investors in “uneasy relationship” with advisors, study shows
FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections
- By: James Langton
- January 24, 2023 January 24, 2023
- 17:23
RESP privacy breach class action runs aground
A court dismissed the proposed suit involving hospital workers selling new mothers' contact information to RESP dealer reps
- By: James Langton
- January 24, 2023 January 24, 2023
- 15:42
FSRA releases draft operational risk guidance for credit unions
The proposed guidance is out for comment until March 31
- By: Greg Meckbach
- January 24, 2023 January 24, 2023
- 15:22
New SRO plans October business continuity test
The biennial exercise will be coordinated with the U.S. industry
- By: James Langton
- January 23, 2023 January 23, 2023
- 16:09
FSRA proposes cyber guidance for title credentialing bodies
Groups issuing financial planner and advisor titles must meet cybersecurity guidelines
- By: James Langton
- January 23, 2023 January 23, 2023
- 15:37
Bloomberg sanctioned over bond pricing disclosures
Securities prices sometimes relied on single sources, the SEC alleged
- By: James Langton
- January 23, 2023 January 23, 2023
- 14:38
Advisor hit hardest in Amaya Gaming insider trading case
An Ontario tribunal handed down $5.1 million in penalties and other costs
- By: James Langton
- January 23, 2023 January 23, 2023
- 14:33
Crypto lending product ruled a security: SEC, NASAA
U.S. regulators settle with firm over unregistered product
- By: James Langton
- January 20, 2023 January 20, 2023
- 14:46
Firms have immunity to aid SRO investigations, court rules
B.C. court strikes certain claims in rep's wrongful dismissal suit
- By: James Langton
- January 20, 2023 January 20, 2023
- 14:37
Total cost reporting guidance for seg funds coming this spring: FSRA
FSRA also reiterated that it wants clients to be protected from seg fund deferred sales charges, regardless of when the funds were purchased
- By: Greg Meckbach
- January 20, 2023 January 20, 2023
- 12:27
New circuit breakers for CDRs
Growth in Canadian depositary receipts prompts SRO to expand guidance on trading halts
- By: James Langton
- January 19, 2023 January 19, 2023
- 16:50
Crypto exchange moved US$700 million for darknet: DoJ
U.S., European authorities take down Bitzlato platform
- By: James Langton
- January 18, 2023 January 18, 2023
- 16:47
Court sides with firm in dispute over advisor-managed funds
Rep sought to bring funds she managed for clients to new business
- By: James Langton
- January 18, 2023 January 18, 2023
- 15:24
Rate hikes have begun to quell U.S. inflation: Fed’s Mester
Mester's comments are notable because she is among the more consistently hawkish members
- By: Christopher Rugaber, The Associated Press
- January 18, 2023 January 18, 2023
- 14:52
New SRO launches investor advisory panel
Dorothy Sanford, former head of MFDA IPC, heads new investor group
- By: James Langton
- January 17, 2023 February 17, 2023
- 16:42