The agreement establishes a framework for consultation, co-operation and information-sharing between the OSC, BaFin, and the Bundesbank
The proposals would reduce the reporting deadlines and increase the amount of data that are collected
NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations
Consultation paper proposing updates to Basel Committee's stress testing principles to incorporate changes in stress testing practices that have occurred in recent years
The association’s response to the CCIR’s strategic plan recommends that regulators implement a mandatory rule for advisors to conduct a needs analysis for all clients
The initiative would provide investor protections but existing restrictions on controlling shareholders and related parties would not apply to a sovereign shareholder
Principles are aimed at consistency for firms leaving the U.K.
The regulator’s final statement of priorities, published on Thursday, also includes a commitment to deal with embedded commissions
The helpline has also led to almost 650 issues being referred to other regulators, the U.S. SRO reports
The committee will provide the regulator with feedback on emerging issues and the regulatory framework for investment products