Regulation

FSRA seeks CRM2-like disclosures for seg funds

Proposal would require seg fund disclosure of embedded costs

By James Langton |May 27, 2024

2 min read

Regulation

OSFI confronts rising liquidity risks

Regulator consults on revisions to boost intra-day liquidity insight

By James Langton |May 27, 2024

2 min read

Regulation

Bank capital reforms poorly timed, Scotia warns

Tougher capital rules may lead to sharply lower lending

By James Langton |May 24, 2024

2 min read

Regulation

DFSA no longer an approved credential in Ontario

Designation holders have six months to obtain a different credential to use the financial advisor title

By Michelle Schriver |May 23, 2024

3 min read

Regulation

FP Canada introduces 2 new rules

Financial planners now have requirements related to trusted contacts, conflicted roles

By Michelle Schriver |May 22, 2024

2 min read

Regulation

“Fat finger” trading flub ends in fines for Citi

Firm's controls failed to block massive trading goof

By James Langton |May 22, 2024

2 min read

Regulation

ICE sanctioned for cyber breach reporting

Exchange failed to immediately report VPN vulnerability exploit

By James Langton |May 22, 2024

2 min read

Regulation

OSC gives whistleblower $300,000 reward

Tipster alerted regulator to hard-to-detect misconduct

By James Langton |May 15, 2024

1 min read

Regulation

ESMA finalizes anti-greenwashing guidance

Regulators issue advice to fund managers on ESG terms in fund names

By James Langton |May 14, 2024

1 min read

Regulation

Court rejects challenge to SEC’s ESG disclosure rule

States failed to establish standing to oppose the rule

By James Langton |May 14, 2024

2 min read

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