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Rule change

Basel III capital reforms get push from global regulators

Call to fully implement global rules follows recent delays, revisions

Compensation pay

Banks’ compensation models need work: FSB

March 2023 bank failures echoed lessons on incentives from financial crisis

Dividing groups

CIRO poised to take over dealer registration

OSC to delegate registration to CIRO, rest of CSA considering it too

Robber captured

U.S. bank examiner admits insider trading

Fed regulator made US$771,678 trading on inside information about banks

reddit icon

IOSCO embarks on retail investor protection roadmap

Regulators' initiative targets emerging digital risks, broker conflicts

Magnifying glass on documents

CSA to expand electronic access disclosure model

Regulators aim to address concerns about retail investor protection

climate change

EU climate stress test highlights funds’ exposure

Transition risks alone not severe, but macro shocks could amplify threat to financial system

AI computer

Can AI deliver better inflation forecasts?

Central bankers launch project to automate extensive price data

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

AI hedge fund manager duped investors, U.S. authorities allege

Fund's manager allegedly lied about its strategy, assets, performance

Gavel and texts

Court rules BCSC panel’s process was unfair

Target of insider trading case was prevented from airing abuse of process claims, court says

Dominos falling

Risks lurk as reform implementation lags: FSB

Policy work has made progress, but slow adoption leaves system vulnerable

digital euro

ESMA calls for T+1 in 2027

European regulator says transition will enhance market efficiency, resilience

Businessperson examining contract with magnifying glass

CSA issues advisory on Canada Post strike

Contact your local securities regulator for guidance on client, CSA member mail

  • By: Kevin Press
  • November 15, 2024 November 15, 2024
  • 15:14
Bitcoin

Bitfinex hacker gets prison time

Husband, wife sentenced on money laundering conspiracy charges

consultation discussion

FCA seeks redress system reform

Regulators aim to improve handling of systemic issues

environment

U.K. to regulate ESG ratings providers

Government aims to instil confidence in ratings, drive growth, and deter greenwashing

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

CIRO sanctions supervisory lapses at Desjardins

Firm failed to oversee trading activity by a couple of its reps

Sustainable investing

IOSCO seeks to bolster carbon markets

Regulator issues report with recommendations for building safe, sound markets

digital investing

FSB sounds alarm on AI risk

Growing AI adoption poses rising financial stability risks too, group warns

Businessman inspecting paperwork document digitally

Transition plan disclosure falling short: IOSCO

Lack of standards inhibits consistent, comparable disclosure, regulators find

Filling out form

Ontario consults on new pension payout option

Consultation seeks feedback on framework for variable life benefits

Tiff Macklem

BoC’s Macklem to chair BIS advisory committee

Central bankers group also names new general manager, re-elects chair

Piggy bank and coins on blue background

FINRA poised to hike brokers’ fees

Fee increase to be phased in over five years, bring projected revenues in line with expenses

Sustainable investing

As climate action lags, disclosure does too

Few companies fully reporting voluntarily, mandatory standards scarce

Fines graphic

The perils of automating anti-money laundering controls

U.K.'s FCA fines bank over faulty automated transaction surveillance system