Home News From the Regulators Page 14

Latest news in From the Regulators

Large dealers embrace remote exams: FINRA

Organization launches pilot program to allow remote supervision

Angry client

Fund dealer complaints drop, bank gripes up: OBSI

Fraud claims pass suitability issues among investment cases

Busy globe

Global financial stability risks remain, FSB warns

The group called for action on shadow banking reforms in letter to G20

Red alert

Much work to be done, CSA year in review shows

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

announcement

OBSI seeks pair of new directors

With reforms pending, the organization will search for new consumer, industry board reps

China flag

China moves to pep up its slowing economy

The country released a 50-page roadmap and cut key interest rates Monday

Outage validates regulators’ outsourcing worries

FSB, Basel Committee have long warned of tech risk in financial sector

Judge's gavel with magnifying glass on black.

MX sanctions Citi for reporting violations

Weaknesses in position reporting uncovered in compliance review

New account schemers plead guilty

Short-term cash advances exploited in market manipulation

Ontario proposes new pension solvency test

Finance seeks funding test for plans that have been exempt

Greenwashing and isolated green warning sign against white background stock illustration

Greenwashing, greenhushing and greenwishing: The new sustainable finance lingo

Here’s what the terms mean and how some suggest putting an end to these practices

Whistleblower

Tipster settles for US$37-million whistleblower award

Tip helped, but SEC rules that compliance staff sparked investigation

man reading tablet and writing on paper

LLQP exam fees going up next month in Ontario

FSRA says higher fees due to rising technology, business costs

Court upholds BCSC’s power to compel

Constitutionality of regulator's investigative tools upheld on appeal

Magnifying glass looking at financial data

For U.S. regulators, the devil is in the data

Agencies adopt standards to address bias, conflicts in valuation models

Pile of cryptocurrency coins

Global banks face crypto disclosure rules

Basel Committee's requirements to take effect in 2026

Blue spikes

FSB targets cross-border payments regulation

Proposals seek to combat regulatory arbitrage, level playing field

Arrow cube

Basel Committee tweaks rate shock rules

Regulators recalibrate for zero-rate environments

ESMA takes aim at best execution

Consultation aims to clarify and improve compliance with trading rules

Direction of stock market.opportunity time.buy and sell.change for chance.positive thinking

CIRO enforcement activity down in fiscal 2024

Self-regulatory organization reported year-over-year decline in decisions and sanctions

Solar system

FCA reviews role of Big Tech in payments

Consultation to review consumer protection, competition, systemic risk concerns

dominos falling

EU banks to face regulatory action on climate: DBRS

Regulators expected to get tough on non-compliance with climate-related obligations

Interest rate graphic

The Fed is more confident inflation is slowing to its target: Powell

Powell declined to provide any hints of when the first rate cut would occur

Judge looks at papers

A rocky road ahead for U.S. regulators

Recent SCOTUS rulings curbing agencies' power has financial industry implications: Moody's

Crypto coins

Europe consults on crypto classification

Consultation seeks common approach to applying new crypto rules