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Latest news in Regulation

New rule book

New FCA regime good for clients, tough on firms

Margins, profits to be squeezed as consumer protections boosted

Blackboard conflict

Most firms falling short in conflict compliance

Regulators say suitability assessments and disclosure aren't adequate for firms that deal only in proprietary products

Judge makes ruling

Court pauses rival series of trailer-fee lawsuits

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

Fraudster arrested

Adviser’s insider trading more extensive than SEC thought

Offshore stock trades came alongside previously-sanctioned options trades

Jumping hurdles

Money market rules are OK after all: Moody’s

Major reforms unlikely after review finds funds resilient to market stress

Lawyer writing in legal book

CIRO seeks margin rules for PPNs

Proposal revises conservative approach initially sought by IIROC

Gavel

Capital Markets Tribunal rejects Binance’s bid to get OSC inquiry halted

Tribunal finds it has no say in regulator's investigations

scales of justice

Closet indexing class action stumbles, again

B.C court gives plaintiff another chance to clarify proposed claim

Crypto money

FSB sets final global crypto rules

Global group's rules target recent turmoil and misconduct in crypto markets

Files being analyzed

SEDAR+ to launch on July 25

SEDAR will no longer be available for filing the night of July 20

  • By: Staff
  • June 30, 2023 June 30, 2023
  • 10:42
digital currency

Policymakers set stage for digital euro

European Commission proposes legal framework, ECB to have final call on digital currency

Business young people in the job interview, signed an employment contract with boss in the office

MFDA plans sweep of advisors, reveals more on CE plans

What the regulator's looking for

Business People Handshake Greeting Deal Concept

Be compliant when hiring

Make sure you only take on approved staff

How to be compliant when crowdfunding

How to be compliant

How to do product due diligence

Here’s how you can supplement your firm’s process.

How to build an effective compliance system

Regulators are paying increasing attention to firms’ compliance structures.

Never lend to a client, and other compliance sins

You must maintain an arm’s-length relationship to protect you and your client from impropriety.

How to deal with client complaints

Advisors should prepare themselves for a new way of handling clients’ problems, because OBSI’s dispute resolution service will be mandatory as of August 1.