Discussion paper asks whether the existing regulatory framework is sufficiently flexible, has gaps which need to be filled and how it impacts the use of big data technologies
The investor advocacy group is calling on U.K. regulators to clarify and enforce existing disclosure requirements for online advisory firms
The regulator is starting its review with a sample of boards from federally regulated financial firms of different sizes and business models
For firms regulated under securities law, among others, fees are going up by 0.74%
Hedge funds aren’t immune to the effects of the CRM2 reforms pushing increased transparency on the Canadian investment business
The guidance sets out the regulators’ expectations about the level of detail that should be included in disclosure from benchmark administrators
The guidance addresses the risk of a bank in resolution being unable to maintain access to critical clearing, payment, settlement and custody services
The purpose of the alert “is to support financial institutions in recognizing and reporting” financial transactions that may be related to sex trafficking
The committees are responsible for determining whether credit events have occurred in the credit default swaps market
The CSA, IIROC and the MFDA identify how compensation arrangements create conflicts of interest or lead advisors to sell unsuitable products