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Keyword: Regulation

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Hong Kong's skyscrapers

Regulators cite investment firms for lax due diligence


The lawyer failed to identify that a former client was allegedly engaging in a market manipulation

  • By: Staff
  • March 11, 2019 March 11, 2019
  • 15:30

FINRA sanctions Cantor Fitzgerald

  • By: Staff
  • March 5, 2019 March 5, 2019
  • 10:57
stack of documents or files, overload of paperwork on black background

The regulator has also canvassed its own staff for ideas to reduce the regulatory burden

  • By: Staff
  • March 4, 2019 March 4, 2019
  • 15:44
Career burden and business stress concept as a businessman or worker pulling a giant heavy metal anchor as a metaphor for hardship and strugge with taxes or oppression.

Industry groups and investor advocates both praise efforts to reduce regulatory costs


Canada doing well, but emerging markets need improvement

  • By: Staff
  • February 12, 2019 February 12, 2019
  • 10:11
Toronto skyline in financial district

The proposed draft guidance aims to provide transparency into the big banks’ funding risk

  • By: Staff
  • February 11, 2019 February 11, 2019
  • 11:57
17656724 - conference meeting microphones and businessman

Association also calls on government to curb certain tax breaks

  • By: Staff
  • February 8, 2019 February 8, 2019
  • 10:03
Toronto skyline in financial district

Positive improvements in liquidity and funding would offset the impact on earnings, a report says

Multiethnic couple considering investment real estate purchase consulting realtor, interracial family listening attentively to mortgage broker thinking of getting bank loan for buying new home house

Relaxing underwriting standards can create financial instability, regulator argues