Regulation

Four Canadian regulators sign on to MOU with U.S. CFTC

August 2, 2016 James Langton

IIROC proposes move to T+2

August 2, 2016 James Langton

Scotia Capital to repay investors $20 million as part of no-contest settlement

July 29, 2016 Tessie Sanci

OSC corporate finance report aims to aid compliance

July 28, 2016

ASC eases capital raising rules further

July 26, 2016 Patricia Chisholm
New Alberta law to give SROs greater powers

CSA extends comment deadline for best-interest consultation paper

July 25, 2016
FAIR Canada not in favour of regulators’ stance on best interest standard

Ministers announce CMRA timelines and initial board of directors

July 22, 2016 James Langton
FPSC makes changes to its board of directors

U.K., South Korea announce fintech co-operation agreement

July 22, 2016 James Langton

Banking execs want more emphasis on shadow banking, fintech risks: OSFI

July 22, 2016 James Langton

ESMA fines Fitch Ratings

July 21, 2016 James Langton

OSC to review compensation, sales practices

July 21, 2016 James Langton

U.K. regulator reviews dark pool governance

July 21, 2016 James Langton