Regulation

Industry

OSFI will let leverage relief expire

The regulator is unwinding temporary measures as financial uncertainty subsides

By Staff |August 12, 2021

1 min read

Industry

FSRA to disclose more information about enforcement efforts

A consultation aims to make the regulator's investigations more transparent

By James Langton |August 10, 2021

2 min read

Industry

New Brunswick looks at regulating advisor titles

FCNB launches consultation to address investor confusion surrounding industry titles

By James Langton |August 10, 2021

2 min read

Industry

SEC orders US$13M in disgorgement, penalties in first decentralized finance case

Two men from Florida agreed to the penalties without admitting or denying the charges

By Staff |August 6, 2021

2 min read

Industry

Two firms refused to compensate clients last year, report says

OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years

By Mark Burgess |August 6, 2021

2 min read

Industry

FSRA guidance on mortgage sector code takes effect

The Ontario regulator said it will consider adherence to the code when assessing suitability for licensing

By Staff |August 5, 2021

1 min read

Industry

OSC seeks technical expertise on fund regulation

Senior industry compliance and operations experts are wanted for a regulatory advisory committee

By Staff |July 21, 2021

1 min read

Industry

U.K. regulator issues guidance for ESG funds

The FCA said poor product design and disclosure risks undermining investors' trust

By James Langton |July 19, 2021

2 min read

Industry

SEC settles with UBS over use of volatility-linked product

The US$8.1-million settlement will be distributed to harmed investors

By James Langton |July 19, 2021

2 min read

Industry

Accountability board seeks to step up enforcement disclosure

Greater transparency could help investors and improve audit quality

By James Langton |July 19, 2021

2 min read

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